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Investors Left Out of the Auction Rate Securities Regulatory Settlements Are Suing to Recover Losses
22 Jun 2009, 9:46 am
The allegations focus on manipulation of auction prices by UBS traders, according to the article. [read post]
29 Feb 2012, 7:34 pm
Factors that courts would take into account to determine whether sophisticated means were applied by the inside trader include how many transactions were made, the monetary value of each transaction, the number of securities involved, the duration of time that the offense took place for, whether shell companies, fake entities, or offshore accounts were used to hide the transactions, and if auditing mechanisms, internal compliance policies, and compliance and ethics programs were undermined… [read post]
21 May 2010, 6:52 am
Here are some of the latest entries: - Careers: Three Tips for Younger Lawyers - Delaware Supreme Court Affirms In Part, Reverses In Part, And Remands Court of Chancery's Ground-Breaking Decision On Bylaw Amendments, "Stockholders of Record" and "Vote Buying" - SEC Proposes Large Trader Reporting System - Special Litigation Committees: Chancellor Chandler Weighs In - Do You Need to Use Director Nominee Questionnaires? [read post]
1 Sep 2008, 10:52 pm
With electronic trading, the location of the trader is operationally irrelevant and so is the location of the exchange. [read post]
25 Oct 2023, 10:48 am
These illicit traders – who peddle damaged, inferior, or knockoff products that are virtually indistinguishable from genuine products – pose serious risks to both consumers and brands alike; and undermine the public’s trust in e-commerce marketplaces and the integrity of products sold online. [read post]
27 Jul 2010, 3:58 pm
As regular readers know, I support the President on Afghanistan (and indeed, almost all of his foreign policy which I rate as excellent), am a free trader (I knew I would win on that one with Obama), and support the idea of a structured indefinite detention regime with real due process. [read post]
4 Dec 2014, 10:01 pm
Portales’ demise as the nation’s organic peanut butter capital started when FDA connected a multistate outbreak of Salmonella Bredeney to Trader Joe’s Valencia Peanut Butter, which the retailer recalled after FDA connected the product to the outbreak. [read post]
20 Dec 2013, 8:53 am
The complaint said that Credit Suisse’s own traders warned it about the risks of some of the loans, but the firm continued to securitize them anyway. [read post]
30 Mar 2012, 5:12 pm
Thus, Dodd-Frank Title VII requires that all swaps be reported and gives the CFTC additional authority to collect data to facilitate its surveillance of and enforcement authority over large trader positions. [read post]
23 May 2010, 2:59 am
The sprouts were distributed to a variety of restaurants, delicatessens, and retailers, including Trader Joe's and WalMart stores. [read post]
2 Apr 2015, 11:35 pm
Answer specific questions about separation and divorce in California Identify legal and procedural issues, hurdles and risks Explain California rules, laws and other related principles Describe legal arguments that might be made by either or both spouses Assess facts from the perspective of a divorce attorney, business owner, real estate investor, divorced person, resident of San Francisco and Marin Discuss available methods for resolving legal issues Explore legal and practical options –… [read post]
12 May 2010, 5:00 am
Warning, Traders Flee Moody’s Shares in The New York Times‘ Deal Book Failure to Conduct Diligence Can Lead to SEC Sanctions – prior post [read post]
23 Oct 2021, 5:26 pm
Of the nine people who reported eating salami sticks, eight ate or may have eaten Citterio brand Premium Italian-Style Salame Sticks purchased from Trader Joe’s grocery stores. [read post]
27 Jan 2025, 9:04 am
” This includes convictions in the London Interbank Offered Rate (LIBOR) manipulation case, a conviction of the former head of HSBC Bank’s Foreign Exchange (FX) desk involved in a $3.5 billion “frontrunning” scheme, and the conviction of two Deutsche Bank precious metals traders involved in a $1 billion futures market “spoofing” scheme. [read post]
5 Mar 2025, 9:01 pm
The agency investigated the availability of implicated products locally by reviewing import records, coordinating with international authorities, and conducting checks with local traders. [read post]
2 Oct 2017, 4:50 pm
The SEC’s disclosure that its EDGAR system had been had hacked was big news last week, as was the accompanying disclosure that the information accessed may have been used for improper trading. [read post]
20 Jan 2011, 7:23 pm
But whether we call ourselves conservatives, libertarians or just “free-traders,” we are unable to support any expansive trade agreement that violates the U.S. [read post]
11 Dec 2009, 1:01 am
However, where the issue is one of infringing use by use of a word mark (as in the present case), the fundamental question remains, to paraphrase what was said by Williams J in the same case (at 205), whether those to whom the user is directed are being invited to purchase the goods (or services) of the defendants which are to be distinguished from the goods of other traders “ partly because “ (emphasis supplied) they are described by the words in question. [read post]
17 Jul 2007, 7:21 am
The traders used disposable cellphones, federal investigators said when they announced their investigation in March. [read post]
25 Jan 2011, 6:39 pm
For starters, anti-traders' responses couldn't be mailed-in anymore; and they'd actually have to come after the President's remarks, not before them. [read post]
