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SEC Enforcement Actions Dodd-Frank Disgorgement Whistleblowers Whistleblower Awards Enforcement Settlement Insider Trading RMBS Citigroup Fraud Investment Adviser Securities Fraud CFTC Popular SEC v Citigroup SCOTUS Securities Act of 1933 Statute of Limitations Appeals DOJ Fiduciary Duty Judge Rakoff Securities Exchange Act UK Civil Monetary Penalty Class Action Compliance FINRA Hedge Funds Breach of Duty Permanent Injunctions Ponzi Scheme Risk Management Chevron Deference Collateralized Debt Obligations Financial Institutions Interlocutory Appeals Investors Mortgage-Backed Securities Securities Litigation Broker-Dealer Consent Decrees Damages Derivatives Injunctions Penalties Sarbanes-Oxley Shareholders Swaps Trustees Bank of America CEA Corporate Counsel ERISA EU FCPA Financial Services Industry Injunctive Relief Investment Advisers Act of 1940 Misappropriation Mutual Funds Position Limits Sanctions Securities Attorney's Fees Banking Sector Board of Directors Breach of Contract Conflicts of Interest Credit Suisse DOL Financial Conduct Authority (FCA) FinCEN Misrepresentation Morgan Stanley Neither Admit Nor Deny Settlements Prejudgment Interest Preliminary Injunctions Securities Violations Summary Judgment White Collar Crimes Anti-Money Laundering Anti-Retaliation Provisions Cause of Action Accrual CEOs Clawbacks Commercial Bankruptcy Declaratory Relief Employer Liability Issues Excessive Fees False Statements Financial Markets Financial Statements Fines FSMA Incentive Compensation JPMorgan Chase Liquidation Municipal Bonds Pensions Punitive Damages Reporting Requirements Retaliation Retirement Plan 401k Administrative Procedure Act Appraisal Arbitration Australia Bernie Madoff Burden of Proof China Class Certification CMBS Criminal Prosecution Custody Rule Cy Pres Funds Deutsche Bank Directors Disclosure Requirements Discovery Rule Dismissals Equitable Relief ESOP Financial Adviser Financial Regulatory Reform FIRREA Fund Managers Gabelli v SEC Goldman Sachs HM Treasury Internal Investigations Investment Company Act of 1940 Investment Fraud Investment Funds Investment Management Kokesh v SEC Mergers Merrill Lynch MiFID II Money Laundering Mortgages Municipalities Negligence Oil & Gas Private Equity Private Equity Funds Putative Class Actions Restitution UBS Underwriting US v Newman 28 USC 1331 Abuse of Discretion Admissions of Liability Adverse Employment Action Annual Reports Arbitration Awards Asset Freeze Asset Management Asset-Backed Securities Audits Barclays Bear Sterns Bonds Business Valuations CalPERS v ANZ Securities Capital Markets Capital One CFOs Commodities Exchange Act Countrywide Defamation Derivative Suit Due Diligence E*Trade Employee Benefits Energy Sector Enforcement Statistics European Securities and Markets Authority (ESMA) Exclusive Jurisdiction Executive Compensation Expungement Fannie Mae Federal Jurisdiction Federal Reserve FHFA Fifth Amendment Final Rules Forfeiture Fourth Amendment Freddie Mac GAAP Gartenberg Factors Government Investigations Halliburton Harbinger Capital Partners LLC Hiring & Firing Illegal Tipping Internal Controls Internal Revenue Code (IRC) Investment IRS ISDA ISDA Master Agreement Judicial Review Jurisdiction Libor Liquidity Malicious Prosecution Mandatory Victim's Restitution Act Market Abuse Mary Jo White Material Nonpublic Information Merrill Lynch v Manning Motion for Summary Judgment Municipal Advisers Negligent Misrepresentation No-Action Relief OCIE Offering Fraud Ontario Securities Commission (OSC) Pay-To-Play PCAOB Personal Benefit Presumption of Reliance Price Manipulation Private Right of Action Professional Liability Proposed Regulation Public Officials Registration Requirement Regulation SHO Regulatory Agenda Remand Repurchases Retroactivity Reversal Risk Assessment Rule 10b-5 Scienter Section 10(b) Section 304 Shareholder Litigation Split of Authority State Law Claims Statute of Repose Stocks Transparency Trump Administration Unregistered Securities US Bancorp Vacated Valuation Warrantless Searches Wells Fargo Whistleblower Protection Policies 12b-1 plan Abuse of Power Acquisitions Actual Malice Administrative Hearings Administrative Proceedings Administrative Review Board Affirmative Defenses Agricultural Sector Aiding and Abetting AIG AIM ALJ Allstate American Bankers Association American Pipe & Construction Co. v. Utah Anti-Competitive Anti-Fraud Provisions Apple Appointments Clause Argentina Arms Length Transactions Article II Asset Valuations Assignments Assured Guaranty Corp. ATMs Attorney Generals Auditors Australian Securities and Investments Commission Automotive Industry Bad Faith Bank of New York (BNY) Mellon Banks Beneficial Owner Benefit Plan Sponsors Bilateral Investment Treaties Blockchain Blue Sky Laws Board Deferance Bond Financing Breach of Warranty Bribery Brokers BRRD Business Litigation C-Suite Executives CalPERS Canada Casinos Cease and Desist Orders Cell Phones Certiorari CFPB Charitable Organizations Chief Compliance Officers Clear and Convincing Evidence Clinical Trials CME Collateralized Loan Obligations Comcast v. 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John Fund Hewlett-Packard High Frequency Trading HKEx Hong Kong HSBC Indemnification Indemnity Independence Rules India Inflation Adjustments Information Reports Institutional Investors Interest Rate Adjustments Interlocutory Orders Internal Reporting International Arbitration International Litigation Investigations Investor Protection Janus Capital Group Judicial Settlement Agreements Jury Trial Jury Verdicts KPMG Law Enforcement Legal Advice Privilege Lehman Brothers Leveraged Buyout Liens Litigation Hold Living Will Lloyds of London Loan Market Association Loans Market Manipulation Market Participants Material Misstatements Mediation Member State Minerals Minority Shareholders Misleading Statements Money Transmission Act Money Transmitter Motion to Dismiss Motion To Strike Motion to Vacate MSRB Multiemployer Plan Municipal Securities Issuers Natural Resources NCUA New Regulations New York Times News Stories No-Action Letters Non-Prosecution Agreements NRSRO NSA NYDFS Obstruction of Justice Offsets Offshore Companies Omissions Order to Stay Patriot Act PBGC Perjury Personal Liability Petition for Writ of Certiorari Pharmaceutical Industry Portfolio Managers Post-Judgment Enforcement Actions Preemption Pricing Private Fund Limited Partnerships (PFLPs) Private Funds Privately Held Corporations Privileged Documents Probable Cause Professional Misconduct Proposed Amendments Proprietary Trading Protected Activity Protective Covenants Proxy Put Prudential Regulation Authority Public Employees Public Offerings Qualcomm Qualified Purchaser Qualified Retirement Plans Rajat Gupta Rare Earth Metals Rating Agencies Real Estate Investments Receivership Reformation Registered Investment Advisors Regulation A Relators Remediation REMIC Representations and Warranties Resource Extraction Restraining Orders Retirement Retroactive Application Right to Privacy Right to Remain Silent Risk Mitigation Risk Retention Rival Director Slate Rule 10(b) S&P SAC Capital Safe Harbors Scheme of Arrangement Section 11 Section 1504 Section 162(f) Section 17(a) Section 36(b) Section 409A Section 5 Securities Act Serious Fraud Office Servicing Agreements SFC Shareholders' Agreements Short Sales Short Selling Singapore SIPA SIPC Solicitor General Specific Performance SRO Stanford Ponzi Scheme Statistical Sampling Stock Drop Litigation Stock Purchase Agreement Strategic Enforcement Plan Sub-advisers Subject Matter Jurisdiction Subprime Mortgages Subsidiaries Summit Energy Sun Capital Partners Suspensions & Debarments Suspicious Activity Reports (SARs) Swap Agreements Target Company Tax Deductions Tax Fraud Tax Increment Financing Tax Returns Tax-Exempt Bonds TD Ameritrade Telecommunications Tender Offers Termination Tesco Third-Party Service Provider Tibble v Edison Int Tippees Title Insurance Tolling Tolling Agreement Total Shareholder Return (TSR) Trade Libel Tranche Transfer Agents Treble Damages Trust Preferred Securities UK Brexit Uniform Commercial Code (UCC) Unjust Enrichment US Bank Vacatur Veto Rights Virtual Currency Volcker Rule Volkswagen Wachovia Waiting Periods Warrants Wash Sale Rules Wash Trades Washington Mutual Water Willful Misconduct Wiretapping Withdrawal Liability Yahoo!