Securities Business Torts

SEC Fiduciary Duty Securities Fraud Fraud Enforcement Actions Class Action SCOTUS Insider Trading Breach of Duty RMBS Shareholder Litigation Shareholders Securities Litigation Board of Directors Settlement Compliance Investment Adviser Securities Exchange Act Fraud-on-the-Market ERISA Enforcement Securities Act of 1933 Class Certification Securities Derivative Suit Halliburton Misrepresentation Halliburton v Erica P. John Fund Statute of Limitations CFTC Dodd-Frank Mergers Corporate Counsel Disclosure Requirements Appeals Motion to Dismiss Dismissals Rule 10b-5 FINRA Investors Broker-Dealer Basic v Levinson Hedge Funds Popular Whistleblowers Banks DOJ ESOP Material Misstatements Business Judgment Rule EU Pleading Standards Section 11 Conflicts of Interest Controlling Stockholders FIfth Third Bancorp v Dudenhoeffer Omnicare Disgorgement Omnicare v Laborers District Council Ponzi Scheme Scienter Stocks Corporate Officers Directors JPMorgan Chase Stock Drop Litigation Canada Rating Agencies Registration Statement Acquisitions Criminal Prosecution False Statements Penalties Retirement Plan Civil Monetary Penalty FCPA Mortgage-Backed Securities Pleadings Executive Compensation Illegal Tipping SLUSA DE Supreme Court Investment Funds Mortgages Citigroup Goldman Sachs Personal Liability Presumption of Reliance US Bancorp Bank of America Breach of Contract Corporate Governance Personal Benefit Sarbanes-Oxley Standing White Collar Crimes 401k FHFA FDIC Investment Advisers Act of 1940 Mutual Funds Publicly-Traded Companies Swaps UK US v Newman Deutsche Bank Misleading Statements Pharmaceutical Industry Chief Compliance Officers Employee Benefits Misappropriation Professional Liability Sanctions Aiding and Abetting Delaware General Corporation Law Section 10(b) Standard of Review Amgen Inc. v Connecticut Retirement Plans DOL Material Nonpublic Information Morgan Stanley UBS D&O Insurance Demand Futility Derivatives Duty of Loyalty Duty of Prudence Financial Conduct Authority (FCA) High Frequency Trading Jurisdiction Market Manipulation Mary Jo White Municipal Bonds Books & Records Minority Shareholders Proxy Statements PSLRA Shareholder Rights Bylaws Disclosure European Securities and Markets Authority (ESMA) Excessive Fees Loss Causation Municipalities Statement of Opinion Burden of Proof Collateralized Debt Obligations Cybersecurity Federal Reserve Insurance Industry Private Equity Trustees Audits C-Suite Executives Fines Fund Managers Portfolio Managers Extraterritoriality Rules Freddie Mac Hong Kong Investment Company Act of 1940 Investment Management Neither Admit Nor Deny Settlements Omissions Pensions Registration Say-on-Pay Summary Judgment Auditors Bad Faith Brokers Due Diligence Evidence Fannie Mae FERC Financial Adviser Forum Selection Negligent Misrepresentation Oil & Gas Reporting Requirements Statute of Repose Underwriting Damages Exculpatory Clauses Fifth Third Mortgage Company Financial Services Authority Gabelli v SEC Going-Private Transactions Investigations Judge Rakoff NCUA OCC Whistleblower Awards Bernie Madoff Discovery Rule Risk Management Amgen Asset Management Attorney's Fees Benefit Plan Sponsors Bribery CEOs China Duty of Care Financial Institutions FIRREA Internal Controls IPO Materiality Merrill Lynch OCIE Repurchases Whistleblower Protection Policies Appraisal Arbitration Best Interest Contract Exemptions Cease and Desist Chadbourne & Parke LLP v Troice Confidential Information Disclosure-Based Settlements Entire Fairness Standard Foreign Banks IRS Kokesh v SEC Limited Liability Company (LLC) Litigation Strategies Merger Agreements Preferred Shares Public Offerings Shareholder Votes Short Sales Tender Offers Unjust Enrichment Administrative Hearings Common Stock Countrywide Covenant of Good Faith and Fair Dealing Cross-Border Custody Rule Defense Strategies Discovery European Commission Fairness Standard FDA Fees Financial Statements Good Faith Injunctions Japan Morrison v National Australia Bank Municipal Securities Issuers PCAOB Preemption Private Equity Funds Retaliation Reversal S&P SEC v Citigroup Wells Fargo 10b5-1 Plans Anti-Money Laundering Banking Sector Barclays Failure To Disclose False Claims Act (FCA) Federal Rules of Civil Procedure Fee-Shifting Fiduciary Rule Financial Reporting Independent Boards IRA Negligence No-Action Letters Putative Class Actions Secondary Markets Securities Violations Tolling Trusts Virtual Currency Anti-Retaliation Provisions Attorney-Client Privilege Australia Bear Sterns CFPB Corruption Data Breach Deferred Prosecution Agreements Duty to Disclose ETFs Foreign Exchanges FTC Hiring & Firing Insolvency Internal Investigations Investment Fraud Libor Loans Martoma Material Misrepresentation Moody's Multidistrict Litigation Nasdaq Pay-To-Play Policy Violations Private Securities Litigation Reform Act of 1995 Rebuttable Presumptions Section 36(b) Self-Dealing Swap Dealers Tippees Valuation Volcker Rule Young Lawyers Appraisal Rights Bitcoin Bonds Buyouts Commercial Bankruptcy Dark Pool Dell Employee Stock Purchase Plans Employer Liability Issues FBI Fraudulent Inducement GAAP Indemnification Initial Public Offerings International Litigation Investment Companies JOBS Act Jury Verdicts Justifiable Reliance Municipal Advisers NFA No-Action Relief Ontario Securities Commission (OSC) Pension Funds PLSRA Recordkeeping Requirements Securities Act Shareholder Activism Split of Authority Venture Capital Accounting Fraud Administrative Proceedings Asset Valuations Attorney Generals Bank of New York (BNY) Mellon Capital Markets Cease and Desist Orders Claim Preclusion Closely Held Businesses Commodities Confidential Witnesses Corporate Executives Credit Default Swaps Cross-Border Transactions EB-5 Energy Sector Equitable Tolling Ethics Fair Market Value Final Rules FinCEN Foreign Corporations FSMA Healthcare Joint and Several Liability Lawson v FMR Market Abuse Material Disclosures MFW MSRB Ontario Securities Act Personal Jurisdiction Petition For Rehearing Prejudgment Interest Preliminary Injunctions Prospectus Real Estate Market Regulation M Regulation S-K Risk Assessment Rule 10(b) Rule 23 Safe Harbors Social Media Stock Options Stock Purchase Agreement Strict Liability Trulia Trump Administration U.S. Treasury Admissions of Liability AIFMD Blue Sky Laws BP Buy-Out Agreements Causation Certiorari Clawbacks Collateral Estoppel Commercial Court Commodities Exchange Act Conspiracies Contract Terms Corporate Liability Corporate Sales Transactions Corporate Veil Creditors Cyber Attacks Data Protection Dole Food EMIR European Banking Authority Family Businesses Federal Pleading Requirements Federal Rule 12(b)(6) Financial Crimes Fitch Foreign Investment Forfeiture Gartenberg Factors General Solicitation HSBC Independent Director Interlocutory Appeals Internal Revenue Code (IRC) Janus Capital Group Lehman Brothers Mark Cuban Mismanagement Moench Presumption Money Laundering Mootness Municipal Securities Market Nvidia NYSE Offerings Price-Fixing Private Placements Private Right of Action Public Disclosure Reaffirmation Reasonableness Factors Remedies Retirement Revlon Standard Royal Bank of Scotland Rule 11 SAC Capital Section 10(b)-5 Security-Based Swaps Sellers State Securities Claims Subject Matter Jurisdiction Subpoenas Subsidiaries Supplemental Disclosures Supreme Court of Canada Trade Market Abuse Transparency US v Salman Wire Fraud Acquisition Agreements Affirmative Defenses AIG American Pipe & Construction Co. v. Utah Antitrust Litigation Apple Bank Fraud Biotechnology Breach of Warranty Caremark claim CFOs Charles Schwab Chevron Deference City of Pontiac Commodity Pool Compensation Committee Complex Litigation Consent Decrees Contract Disputes Corporate Misconduct Credit Unions Criminal Sanctions Dilution Dismissal With Prejudice EBA Equity Compensation Exchange-Traded Products Expert Witness Facebook Failure To State A Claim FCMs Financial Markets Financial Services Industry Foreign Issuers Form 8-K Forum Shopping Fraudulent Concealment Futures Government Investigations Guilty Pleas Hart-Scott-Rodino Act Hewlett-Packard Home Depot Incentive Compensation Independent Directors Internal Affairs Doctrine Investor Protection ISS Jury Instructions Leveraged Buyout Life Sciences Limitation Periods Major Swap Participants MCDC Medical Devices MiFID II Misallocation of Funds Motion to Compel Negligent Supervision Oppression Remedy Opt-Outs Parent Corporation Patents Prescription Drugs Price Manipulation Private Funds Proposed Amendments Proposed Legislation Prudential Public Comment Public Officials Punitive Damages Raj Rajaratnam Reasonable Reliance Claims Receivership Registered Investment Advisors REIT Removal Rescission Revlon Rule 23(b)(3) Rule 506 Offerings Sale of Assets Settlement Agreements Shareholders' Agreements Sothebys Special Committees Special Relationship Spoofing State of Incorporation Statement of Facts Strategic Enforcement Plan Stress Tests Subprime Mortgages Target Company Tortious Interference Twombly/Iqbal Pleading Standard Unfair or Deceptive Trade Practices Unregistered Brokers Vacated Venue Visas Advertising Algorithmic Trading Allstate Alternative Trading Systems Amended Regulation Amgen v Harris Annual Meeting Anti-Corruption Anti-Dumping Duty Article III Asset Freeze Bank of England Bank Secrecy Act Basel Committee Beneficial Owner Burger King Buyers CalPERS CalPERS v ANZ Securities Capital Requirements Citibank CMBS Code of Conduct Collateralized Loan Obligations Conflict Mineral Rules Constitutional Challenges Corporate Dissolution Corporate Fraud Corporate Taxes Corporations Code Credit Ratings Credit Suisse Debtors Default Dirks v SEC Disclosure Settlement eBay EMMA Enforcement Statistics Exclusive Jurisdiction Exemptions Expert Testimony Exports Fair Housing Act (FHA) False Advertising Falsified Documents FATCA Federal Sentencing Guidelines Federal Tort Claims Act (FTCA) Fifth Amendment Financial Regulatory Reform Foreign Nationals Foreign Official Form 10-K Forum Forum Non Conveniens Fraudulent Transfers FRCP 9(b) Freeze-Out Mergers Frivolous Lawsuits Gross Negligence Heinz Honest Belief Defense Housing Market Imports Income Taxes Institutional Investors Internal Reporting Investment Banks Joint Venture Kickbacks Lenders Limited Partnerships Liquidation Liquidnet Lying Mail Fraud Majority Shareholders Mandatory Victim's Restitution Act Market Participants Medicare MOFCOM Money Market Funds Mortgage Loan Originators MTFs Non-Enforcement Non-Prosecution Agreements NY Supreme Court Operating Agreements OTC Patent Infringement Payday Loans Permanent Injunctions Petition for Writ of Certiorari Pharmacies Plan Administrators Policy Exclusions Portfolio Companies Pre-Merger Filing Requirements Prohibited Transactions Proposed Regulation Proxy Solicitations Proxy Voting Guidelines Prudential Regulation Authority Public Employees Public Policy Purchase Agreement Pyramid Schemes Qualified Mortgage Rule Rajat Gupta Real Estate Investments Regulation D Regulation FD Relation Back Doctrine Remand Retirement Plan Providers Reverse Mergers Russia Sales Scams Schedule 13D SEC v Payton Section 220 Request Sentencing Serious Fraud Office SFO Shareholder Approval Shareholder Demands Shareholder Oppression Short-Swing Trading SIFMA SIPA State Law Claims Stays STOCK Act Stock Trades Stock-for-Stock Merger Structured Financial Products Symantec The Clayton Act Third Point Third-Party Too Big to Fail Transfer of Assets Trust Preferred Securities UCITS Unions US Bank USCIS Verizon Waivers Wal-Mart Walgreens Wall Street Ways and Means Committee Websites Witness Wrongful Termination 16(b) Abuse of Discretion Accountants Accounting Controls Actual Injuries Actual or Constructive Knowledge Administrative Procedure Act Adverse Employment Action Affiliates AIFM ALJ Allergan Inc Alter Ego Ambiguous Amended Complaints American Rule Annuities Appointments Clause Arbitrage Arbitration Agreements Arbitration Awards ASIC Asset-Backed Securities Assured Guaranty Corp. ATMs AU Optronics Corp Auction Automotive Industry AXA Equitable Life Bad Actors Balance Sheets Bank Holding Company Act Banking Crisis Best Interest Standard Bids BlackRock Block Trades Boeing Botox British Bankers' Association British Columbia Securities Commission BRRD Bundling Rules Burden-Shifting Business Continuity Plans Business Corporation Act Business Court Business Development Business Development Companies Business Disputes Business Formation Business Litigation Business Torts Business Valuations CAFA Cause of Action Accrual CCO Celera Cell Phones Change of Ownership Charter Schools Choice-of-Law Circumstantial Evidence Class Representatives Clearing Agencies Clinical Trials CMS Collateral Comcast Comcast v. Behrend Commercial Leases Commercial Loans Commerzbank Confidentiality Agreements Contract Drafting Contract Interpretation Contractors Cooperation Initiative COOs Corporate Charters Countervailing Duties CPO Criminal Convictions Crowdfunding Cryptocurrency CTA Customer Protection Rule Customs Debt Debt Collection Debt Restructuring Debtor-Creditor Declaratory Judgments Declaratory Relief Deepwater Horizon Default Judgment Defined Benefit Plans Defined Contribution Plans Delays Demurrers Department of Energy (DOE) Derivative Complaint Derivatives Clearing Organizations Detrimental Reliance Detroit Discounts Disqualification Distribution Rules Due Care Due Process Duke Energy DuPont Duty to Defend Earn-Outs Economic Development Economic Downturn Edge Act EEA Electronic Trading Email Energy Market EU Market Abuse Regulation (EU MAR) European Central Bank Exceptions Expert Reports Fair Value Standard FASB FATF Federal Contractors Federal Employees Federal Jurisdiction Federal v State Law Application Fee Disclosure FFIEC Financial Crisis Finders First Derivative Traders FMR LLC Food Manufacturers Foreign Jurisdictions Fraudulent Conveyance Gaming Germany Gramm-Leach-Blilely Act Green Cards Guidance Update Hedging Herballife High-Speed Trading Hong Kong Securities and Futures Commission (HKSFC) Hostile Takeover HUD Imputed Knowledge Incentives IndyMac Inflated Stock Purchase Price Injunctive Relief Insider Information Insurance Litigation Intent Interest Rate Swaps Interest Rates International Finance International Harmonization Investment Investment Advisory Agreements IOSCO ISDA ISDA Master Agreement Issue Preclusion ITC Judicial Dissolution Judicial Review Jury Trial Kraft Lawson Legal History Leidos Inc v Indiana Public Retirement System Leverage Ratio Life Insurance Listing Standards Loan Agreements London Whale Long-Term Investment Funds Managers Manufacturers Master Limited Partnerships MBIA Insurance Medicaid Membership Interest Memorandum of Understanding MiFIR Mining MLM Industry Mobile Apps Monsanto Motion to Amend Municipal Bankruptcy Natural Gas Negotiations NERA New Guidance New Legislation New Regulations Non-Judicial Settlement Agreements Non-Public Information NV Supreme Court Objective Unreasonableness Standard OCR Offering Documents Online Marketplace Lending Oversight Committee Partnerships Patent Litigation Patent Trolls Penny Stocks Piercing the Corporate Veil Plainly Material Standard Plastic Solar Cells Poison Pill Policies and Procedures Predominance Requirement Principal Transaction Exemption Privacy Policy Privately Held Corporations Protected Activity Proxies Proxy Contests Proxy Materials Proxy Season Public Schools Puerto Rico Pump and Dump Qualcomm Quid Pro Quo Ranieri Partners Ratification RBS Recess Appointments Regulation S-X Reimbursements Release Agreements Representations and Warranties Request For Information Restitution Restricted Stocks Restrictive Covenants Retailers Revenue Sharing RICO RMB Loans Rule 15c2-12 Section 10 of the Exchange Act Section 12 Section 13 Section 17(a) Section 25401 Section 304 Securitization SEFs Self-Interest Settlement Offer Severance Pay Siemens SIPC Solar Energy Solicitor General Standstill Agreements Startups Stock Deals Stock Repurchases Stock Sale Agreements Stop Order Strike Suits Subcontractors