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16 Jul 2012, 7:08 pm
While Barclays may have the settled the allegations for $450 million with the UK’s Financial Services Authority, the US Department of Justice, and the Commodity Futures Trading Commission, now a number of other financial firms are under investigation including UBS AG (UBS), JPMorgan Chase (JPM), Deutsche Bank AG, Credit Suisse Group (CS), Citigroup Inc., Bank of Tokyo-Mitsubishi UFJ, HSBC Holdings PLC (HBC-PA), Lloyds Banking Group PLC (LYG), Rabobank Groep NV, Mizuho… [read post]
30 Nov 2011, 5:23 am
About two weeks later, Saxon assigned the note to Deutsche Bank as a trustee for a Saxon "asset securities trust," endorsing the note in blank. [read post]
28 Aug 2015, 8:15 am
Stein has voiced her objections to waivers on at least two other occasions regarding Deutsche Bank AG and for multiple waivers granted to UBS AG, Barclays Plc, Citigroup Inc., JPMorgan Chase & Co., and the Royal Bank of Scotland Group Plc. [read post]
15 Jul 2010, 2:59 pm
Inc., an interested party, played a role in that selection. [read post]
21 Jul 2012, 4:33 pm
The motion was filed by James Giddens, the Lehman Brothers Inc. trustee, who sought to affirm the denial of securities claims made by dozens of hedge funds and money managers seeking to get back soft dollar credits in their accounts with Lehman. [read post]
26 Oct 2023, 7:49 am
Morgan Stanley Timothy Claypool Northwestern Mutual Investment Services, LLC Farmers Financial Solutions, LLC Ebony Parks LPL Financial LLC Wells Fargo Clearing Services, LLC Rashawn Russell Deutsche Bank Securities Inc. [read post]
1 Nov 2019, 6:00 am
Stein, Latham & Watkins LLP, on Thursday, October 31, 2019 Tags: Boards of Directors, Capital structure, Disclosure, IPO Spinning, IPOs, Management, Mergers & acquisitions, Registration statements, Securities Act, Spinoffs, Taxation Mechanisms of Market Efficiency Posted by Kathryn Judge (Columbia Law School), on Thursday, October 31, 2019 Tags: Banks, CDOs, Financial institutions, Financial… [read post]
16 Apr 2010, 8:10 am
Lipner and his Garden City, New York law firm, Deutsch & Lipner, in representing a number of investors in Lehman structured note cases. [read post]
11 Jul 2014, 5:47 am
A recent statement by BlackRock Inc (BlackRock) Chief Executive Larry Fink concerning leveraged exchange traded funds (Leveraged ETFs) has provoked a chain reaction from the ETF industry. [read post]
18 Jul 2008, 4:26 pm
Deutsche Bank Group AG Allianz SE Goldman, Sachs Group Inc. [read post]
27 Feb 2019, 7:40 am
The defendants in the case include JP Morgan (JPM), Bank of America (BAC), Citigroup (C), Barclays Bank (BARC), Deutsche Bank (DB), Credit Suisse (CS), UBS (UBS), Merrill Lynch, BNP Paribas Securities Corp., FTN Financial Securities, Goldman Sachs (GS), and First Tennessee Bank. [read post]
17 Sep 2017, 7:30 pm
NCSLT 2007-4 will issue approximately $1.464 billion in principal amount of asset-backed securities and acquire private student loans with a principal and accrued interest balance of approximately $1.02 billion. [read post]
20 Apr 2011, 8:15 am
Treasury Department’s Troubled Asset Relief Program ("TARP"), Colonial Bank’s holding company, Colonial BancGroup Inc., submitted financial data and filings that included materially false information related to mortgage loans and securities held by Colonial Bank as a result of the fraudulent scheme perpetrated by the conspirators; • the conspirators caused Colonial BancGroup to file false and misleading financial data and press releases with the SEC; and… [read post]
22 Nov 2010, 9:01 am
”The investigation has touched a number of companies, the Journal said, including: Primary Global Research LLC, Goldman Sachs Group Inc., Broadband Research LLC, First New York Securities LLC, Ziff Brothers, Jana Partners LLC, TPG-Axon Capital Management, Prudential Financial Inc.'s Jennison Associates asset-management unit, UBS AG's UBS Financial Services Inc. unit, and Deutsche Bank AG.Insider-trading charges are expected against… [read post]
8 May 2024, 8:31 am
Enforcement Actions Against Delphia (USA) Inc. [read post]
18 Oct 2023, 9:01 pm
Securities and Exchange Commission (SEC) announced a US$19 million settlement with the investment adviser DWS Investment Management Americas Inc. [read post]
13 Jan 2014, 2:48 pm
Waste Information & Management Services, Inc. [read post]
18 May 2010, 3:20 pm
” Page Perry, LLC and Deutsch & Lipner are law firms with over 175 years collective experience representing investors in securities-related litigation and arbitration that regularly collaborate on cases. [read post]
20 Mar 2012, 12:45 pm
Deutsche Bank Securities Inc., 647 F.3d 479 (2d Cir. 2011). [read post]
15 Sep 2011, 8:44 am
Today, the Federal Securities Law Blog takes a look back at the last 30 days in the world of securities-related litigation in a regular feature which appears on approximately the 15th of each month. [read post]
