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Investment Advisor
February 2010 |
Securities Lawsuits Down The number of federal securities class action law suits filed dropped sharply in 2009.   |
Investment Advisor
February 2009
Elizabeth D. Festa |
Industry Hit by Class Actions The subprime/liquidity crisis has led to 97 federal securities class action filings in 2008. |
Registered Rep.
September 1, 2006
Kristen French |
Class Act Securities class-action lawsuit filings were at their lowest level in a decade in the first half of this year, according to a recent report. |
Investment Advisor
May 2010
Melanie Waddell |
Settlements On Rise The total value and number of securities class action settlements increased in 2009 to $3.8 billion. |
Investment Advisor
April 2009
James J. Green |
B/D Briefing: Calm Before the Storm? A new report found that the average securities class action settlement was halved in 2008, but the authors of Securities Class Action Settlements: 2008 Review and Analysis, caution that the reported decrease doesn't constitute a trend. |
BusinessWeek
January 13, 2011
Linda Sandler |
Big Banks with Big Legal Bills Mortgages, Madoff, and Lehman may add to the tab at JPMorgan. |
The Motley Fool
April 21, 2004
Bill Mann |
Attack of the Killer Attorneys It's inevitable in every investor's career that he or she will hold a company that will attract class action lawsuits alleging some form of securities fraud. |
Entrepreneur
August 2005
Jane Easter Bahls |
Action Sacked A new law aims to protect you from class-action suits. Under the new law, all class-action lawsuits with plaintiffs from more than one state will have to be filed in federal courts, which tend to be less sympathetic than state courts to these suits. |
Registered Rep.
December 10, 2003
David A. Gaffen |
Securities Revenues Fall in Third Quarter Securities firms showed profits of $3.0 billion in the third quarter of 2003, a 45 percent decline from the second quarter, according to the Securities Industry Association. A significant drop in trading revenue was responsible for the profit hit. |
BusinessWeek
September 17, 2009
Michael Orey |
Commentary: Do Shareholder Class Actions Make Sense? Not when they extract payments from innocent shareholders and let fraudsters off the hook. |
The Motley Fool
December 7, 2005
Rich Duprey |
Inside the SEC Filing Maze Need help digging out information before you invest? Let us give you a hand. Here's a map to some of the best sites to help you navigate the maze. |
InternetNews
July 16, 2004
Sean Michael Kerner |
Red Hat Rebuffed on Restatement The Linux vendor is being sued after restating earnings for the past three years. |
Registered Rep.
January 1, 2005 |
An Encouraging Sign Is the worst of the arbitration onslaught over? Through October, there were 7,008 complaints filed with the NASD. |
Information Today
November 20, 2014 |
LexisNexis Knowledge Mosaic Gets New Name and Enhanced Features Compliance, transactional, disclosure, and regulatory information is now readily available and includes historical as well as up-to-date content. |
Wall Street & Technology
July 1, 2005
Maria Santos |
Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional. |
The Motley Fool
September 6, 2010
Jesse Emspak |
ADC Looks to Settle Suits Ahead of Tyco Sale The telecommunications gear provider is hoping to clear legal hurdles ahead of its sale. |
Registered Rep.
May 1, 2005
Richard Roth |
The Worst is Over---Probably It's clear then that brokerage firms and retail brokers alike will be glad when the all-clear has sounded and Wall Street can stop looking over its shoulder and get back to work. |
Wall Street & Technology
June 21, 2004 |
The Trust Factor We're at a point where we trust the technology and we trust the operations, but we don't trust the human beings and the corporations in the securities industry. |
The Motley Fool
April 1, 2005
Bill Mann |
AIG: A Curious Incident Class action firms sue companies over nothing. Why haven't they sued AIG over a $60 billion something? |
Registered Rep.
January 1, 2006
Kristen French |
Help Wanted Securities Industry employment topped the 800,000 mark in November for the first time since February 2002. |
CFO
September 1, 2002
Lori Calabro |
I Told You So To controversial securities litigator Bill Lerach, the current wave of corporate fraud scandals was both inevitable and preventable. |
CFO
October 1, 2010
Vincent Ryan |
Bankrupt Companies Say "Pay Us Back" Bankruptcy trustees are aggressively seeking to reclaim payments made by near-insolvent firms to vendors and other unsecured creditors. |
Information Today
October 2000 |
Law.com Partners with CourtLink to Offer New Case Information Law.com, a comprehensive online site for the legal community, has announced a new service that enables users to monitor recent filings in federal district courts... |
The Motley Fool
October 16, 2008
Zoe Van Schyndel |
The Risky Business of Securities Lending Is your mutual fund betting with your money? |
Financial Planning
April 1, 2005
Steven K. McGinnis |
Tin Shields As investor lawsuits mount, errors and omissions insurance has become harder to get--and easier to lose. |
Pharmaceutical Executive
September 1, 2005 |
Legal: Jumping the Pond Class-action lawsuits are commonplace in the United States. Now, aggregate litigation is a looming threat in Europe. |
IndustryWeek
December 1, 2007
Jill Jusko |
Trying Times for IP Protection Intellectual property disputes appear on the upswing as other litigation declines. |
Inc.
August 2003
Anne Marie Borrego |
Fairer Class Action Small-business lobbies are hailing a bill that will make it harder to win a class-action lawsuit. |
Bank Technology News
June 2003 |
By the Numbers Total IT spending in the American securities industry is set to decline for the second year in a row. That's not just a big story, it's a huge one. |
Information Today
August 21, 2008 |
SEC Announces a New IDEA--The Successor to EDGAR Based on a completely new architecture being built from the ground up, it will at first supplement and then eventually replace the EDGAR system. |
Registered Rep.
May 1, 2004 |
Cutting the Pace of Cost-Cutting New numbers from the Securities Industry Association suggest that cost-reduction efforts are easing. |
The Motley Fool
June 16, 2006
Selena Maranjian |
Plasticon, an Amazing Penny Stock The key for investors is to find the most promising small companies -- which are usually not penny stocks. |
InternetNews
June 8, 2004
Kevin Newcomb |
Salesforce.com Hits Bump on Road to IPO Excessive media coverage has caused the on-demand CRM provider to delay its offering, but the road to an IPO has now been cleared. |
ifeminists
June 30, 2004
Wendy McElroy |
Jackpot Justice, the Wal-Mart Case No one knows how to definitively resolve the abuses and dangers of class action suits without denying the underdog access to the courts. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
InternetNews
June 18, 2007
Roy Mark |
Court Takes IPO Underwriters Off the Antitrust Hook Wall Street investment firms that helped bankroll the high-tech IPO boom of the 1990s are immune from antitrust suits, the U.S. Supreme Court ruled Monday. |
Registered Rep.
May 15, 2009
Kristen French |
SEC Proposes Anti-Ponzi Rules. Do They Fall Short? Surprise exams and reviews by third party accountants: These are the new measures the SEC proposed to combat ponzi schemes like the one Bernie Madoff pulled off. |
Registered Rep.
July 29, 2013
Steven Kolinsky |
How I Survived a High Profile Lawsuit Working with celebrities comes with benefits. But you need to fully understand the risks to your business and name if that relationship turns sour. |
Financial Planning
August 1, 2008
Andrew Ackerman |
In First, Mass. Sues UBS In the first state-level lawsuit against an investment firm over auction-rate securities, Massachusetts has filed securities fraud charges against UBS for selling retail investors auction-rate paper as "liquid, safe, money-market" instruments even though the defendants knew it was not. |
The Motley Fool
August 23, 2006
Tim Beyers |
Meet the SEC If you're an investor, you have a friend. His name is EDGAR (the acronym for the database hosted by the Securities and Exchange Commission). |
Financial Planning
July 1, 2011
Donna Mitchell |
Hot Topics FINRA steps in... $80 million settlement of two class-action suits by Securities America... Whistleblower payday... |
CFO
November 1, 2008
Alix Stuart |
Going, Going, Gone Lehman's bankruptcy could be the tip of an iceberg of big-company Chapter 11 filings. |
The Motley Fool
August 20, 2008
Tim Beyers |
The SEC Has a New IDEA The Securities and Exchange Commission unveils IDEA, a successor to the EDGAR database that stores filings for thousands of U.S. companies and foreign firms listed on U.S. exchanges. |
The Motley Fool
September 13, 2005
Nathan Parmelee |
Buckle Shares the Wealth The retailer's quarterly filings reveal an impressive stock buyback. |
CFO
June 15, 2012
Sarah Johnson |
A New Risk Factor: The JOBS Act Why some companies are including the law itself as a risk factor in their IPO filings. |
Information Today
August 19, 2002 |
News Digest LexisNexis to Offer LIVEDGAR Access... Thomson Acquires Lawtel... EDGAR Online Announces 2Q Results, Expands International Coverage |
The Motley Fool
October 18, 2006
Dan Caplinger |
Did Bankruptcy Reform Work? A year after new bankruptcy laws took effect, the results are still mixed. What is clear, however, is that many honest people are suffering for the bad actions of a few abusive debtors. |
Financial Planning
May 1, 2010
Paul Menchaca |
The Road Ahead Securities America's executive team seems to view its stellar growth with a mix of pride, and a small degree of hesitation. |
Investment Advisor
October 2006
Palash R. Ghosh |
Remember To Pay The Mortgage Mortgage-backed securities, a somewhat overlooked, though very large, section of the fixed-income universe, are becoming more attractive to investors in light of a softening housing market and slipping Treasury yields. |
The Motley Fool
March 7, 2006
Tim Beyers |
Get Your Special K You should pay attention when a company you own files its 10-K. These reports offer key data to help you build a richer portfolio. |
