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Similar to class actions generally, exploring ethics issues in securities class action litigation (specifically fee-splitting), and how that affects settlement value for plaintiff investors
By B. Colby Hamilton | July 19, 2017
Two former U.K.-based traders convicted for their involvement in the London Interbank Offered Rate exchange scandal saw the Second Circuit toss their entire case Wednesday, including indictments.
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By Christine Simmons | July 19, 2017
The SEC wrote to Southern District Judge Valerie Caproni on Tuesday, indicating a possible deal with Dewey & LeBoeuf executive Joel Sanders, who was convicted in May of scheming to defraud investors in his former firm.
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By Christine Simmons | July 19, 2017
Charles Miller, who practiced for 11 years at Kasowitz Benson Torres, has moved to Tarter Krinsky & Drogin, where he will lead the midsize firm's new securities and financial services litigation group.
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By John C. Coffee Jr. | July 19, 2017
In his Corporate Securities column, John C. Coffee Jr. writes: Old frauds never die. Nor do they fade away. Rather, they mutate and morph into new configurations in response to new opportunities (which new technologies usually create). Thus, the traditional boiler room "pump and dump" scheme was a product of the widespread adoption of the telephone, which allowed high pressure salesman to reach hundreds of gullible customers in a day. Today, an analogous new technological development is inviting new forms of fraud.
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By Sue Reisinger | July 17, 2017
A new report from Gibson, Dunn & Crutcher shows that NPAs and DPAs, as well as monitoring, are still popular tools for government prosecutors.
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By B. Colby Hamilton | July 17, 2017
Three indicted former traders, all U.K. nationals who worked for major international banks, surrendered Monday to U.S. officials.
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By B. Colby Hamilton | July 17, 2017
An international assortment of investors in the co-working startup Bar Works filed a securities fraud suit in the Southern District on Monday over allegations the company co-founder, Renwick Haddow, was operating a Ponzi scheme.
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By Michael A. Asaro and Richard R. Williams Jr. | July 17, 2017
Michael A. Asaro and Richard R. Williams Jr. of Akin Gump Strauss Hauer & Feld write: Spoofing has clearly become a high enforcement priority for the SEC and other regulators. As a result, investment firms and broker-dealers who condone this activity, or who fail to have policies reasonably designed to prevent it, do so at their own risk.
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By C. Ryan Barber | July 14, 2017
The Consumer Financial Protection Bureau and the OCC are fighting over a new rule that would curtail forced arbitration in the banking industry. Uber drivers win a class certification ruling. SEC Chairman Jay Clayton lays out his agenda. This is a weekly regulatory roundup from ALM and around the web.
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By newyorklawjournal | New York Law Journal | July 13, 2017
SEC Fraud Action Stayed Pending Resolution Of Criminal Case Against Individual Defendants
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