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Securities Industry Commentator by Bill Singer Esq
8 Aug 2022, 4:02 am
UBS Securities, LLC, UBS AG, Defendants/Appelants/Cross-Appellees (2Cir Opinion)Weymouth Man Pleads Guilty to Market Manipulation Conspiracy / Defendant conspired with manipulative stock traders in China and United States (DOJ Release)Los Angeles Man Pleads Guilty to Insider Trading Conspiracy (DOJ Release)CFTC Charges Nevada Metals Trader with Spoofing in Gold and Silver Markets (CFTC Release)Digital Signatures / FINRA Reminds Firms of Their Obligation to Supervise for… [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Securities Industry Commentator by Bill Singer Esq
8 Jan 2018, 3:13 am
(Opinion, United States Court of Appeals for the Sixth Circuit, 17-3496) http://brokeandbroker.com/PDF/Mirgliotta6Cir.pdf As set forth in the Syllabus to the 6Cir Opinion:Defendant James Mirgliotta and his late wife Bette invested several hundred thousand dollars in penny stocks at the advice of financial advisors. [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Argument Preview: Credit Suisse v. Billing on 3/27
27 Mar 2007, 6:40 am
The third case in the trilogy of securities antitrust immunity, United States v. [read post]
SCOTUSblog - http://www.scotusblog.com/
The Director Compensation Project: JP Morgan Chase & Co.
6 Jul 2010, 8:00 am by Michael Silverman
Gray was also a member of the United States House of Representatives from 1979 to 1991. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
Federal Circuit: No Physical Taking, No Regulatory Taking
3 Dec 2010, 3:18 pm by Robert Thomas (inversecondemnation.com)
See United States v. [read post]
inversecondemnation.com - http://www.inversecondemnation.com/inversecondemnation/
9th Circuit: Employee Has Income Upon Exercise of Stock Option as Collateral for Margin Loan
5 Dec 2006, 2:05 am
The Ninth Circuit yesterday, in United States v. [read post]
TaxProf Blog - http://taxprof.typepad.com/taxprof_blog/
Fries v. Northern Oil and Gas, Inc.: Court Grants Motion to Dismiss with Leave to Amend for Non-Actionable 10b–5 Claims.
6 Mar 2018, 12:00 am by Rebecca Stifter
In Fries v. [read post]
The Race to the Bottom - https://www.theracetothebottom.org/blog/
SEC v BIH Corp: SEC’s Motion for Summary Judgment Against BIH Corporation Denied
13 Jun 2014, 5:00 am by Meredith Kliewer
In SEC v. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/
Second Circuit Clarifies Meaning of "Domestic Transactions" As Used In Morrison v. National Australia Bank
12 Mar 2012, 12:08 pm
” The decision provides important clarification on the standard laid out by the United States Supreme Court in Morrison v. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
Chapter 7 (Chapter Summaries) "Beyond Law: Governance and Legal Effects of Law in Social Norms, Contract Communities, and Disclosure Regimes: "Elements of Law and the United States Legal System"
19 Feb 2017, 8:23 am
The Use of Non-Regulatory Methods for Regulatory Ends -United States v. [read post]
Law at the End of the Day - http://lcbackerblog.blogspot.com/
Losses Caused By Market Forces Must Be Excluded From Calculation Of Securities Fraud Losses
23 Nov 2007, 2:51 pm
United States v. [read post]
Second Circuit Sentencing Blog - http://federalsentencing.typepad.com/developments_in_federal_s/
Walmart v. Workers in a Black Friday Showdown
26 Nov 2012, 1:51 am by Edgar Romano
Today’s guest post comes to us from Kit Case of Washington state. [read post]
Workers' Law Watch - http://workerslawwatch.com/
Securities Fraud: Irrevocable Liability Establishes the Locus of a Securities Transaction For Purposes of Determining Whether a Transaction was Domestic
17 Feb 2015, 10:47 am
In United States v. [read post]
Third Circuit Blog - http://circuit3.blogspot.com/
Qui Tam claim in Boothe v. Sun Healthcare Group, Inc. remanded by the 10th Circuit
11 Aug 2007, 8:02 am
Earlier this week, the qui tam case of  United States ex. rel.Louanne Boothe v. [read post]
Whistleblower Law Blog - http://whistleblower.labovick.com/
Sixth Circuit Splits with Second and Ninth Circuits Regarding Need to Allege Defendants' State of Mind for Claims Challenging Soft Information Under Section 11 of the Securities Act of 1933
12 Jun 2013, 11:24 am
In Indiana State District Council of Laborers & Hod Carriers Pension & Welfare Fund v. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
A Second Case Comment on Pfeiffer v. Toll: Did Chancery Get Federal Insider Trading Law Right?
11 Mar 2010, 2:44 pm by Steve Bainbridge
This understanding of Dirks was implicitly confirmed by the Supreme Court’s more recent decision in United States v. [read post]
ProfessorBainbridge.com - http://www.professorbainbridge.com/professorbainbridgecom/
The State Senator, the Email and Blackmail
21 Oct 2015, 4:11 am
 The United States Supreme Court has held that certain categories of speech do not receive constitutional protection. [read post]
CYB3RCRIM3 - http://cyb3rcrim3.blogspot.com/
SEC v. Sayid: District Court Denied Securities Lawyer's Motion to Dismiss SEC Fraud Allegations
27 Feb 2018, 12:00 am by David Hartley
In SEC v. [read post]
The Race to the Bottom - https://www.theracetothebottom.org/blog/
Compliance Bricks and Mortar for December 16
16 Dec 2016, 6:32 am by Doug Cornelius
Newman – Not Quite Dead Yet by Gregory Morvillo in NYU Law’s Compliance & Enforcement Last week the Supreme Court handed down a unanimous opinion in United States v. [read post]
Compliance Building - http://www.compliancebuilding.com
AnchorBank, FSB v. Hofer: The Barriers of Loss Causation
24 Apr 2010, 8:00 am by Todd Penner
In AnchorBank, FSB v. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/