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Citigroup Bet Against Housing Market Investors, SEC Says, Will Pay $285M To Settle Claims
Posted on 19 Oct 2011 by Timothy Raub

WASHINGTON, D.C. - (Mealey's) Citigroup Global Markets Inc. has agreed to pay $285 million to settle claims that it misled investors about a collateralized debt obligation (CDO) "that was tied to the U.S. housing market in which Citigroup bet... Read More

Judge Orders Former Galleon Partner To Pay Record $92.8 Million Penalty
Posted on 10 Nov 2011 by Timothy Raub

NEW YORK - (Mealey's) A federal judge in New York on Nov. 8 ordered former Galleon Management Co. General Partner Raj Rajaratnam to pay a nearly $93 million civil penalty to the Securities and Exchange Commission for his role in a massive insider... Read More

Legal News Video Update - April 26, 2010
Posted on 29 Apr 2010 by LexisNexis Emerging Issues Community Staff

Among the stories on this video edition of LexisNexis Legal News, reviews of two recent Supreme Court decisions, a new lawsuit filed by the SEC, and a $200 million settlement of a securities class action lawsuit. (Please visit the site to view this... Read More

J.P. Morgan Securities Agrees To $228 Million Settlement In Muni Bond Reinvestment Action
Posted on 8 Jul 2011 by Timothy Raub

WASHINGTON, D.C. - (Mealey's) J.P. Morgan Securities LLC (JPMS) has agreed to pay $228 million to settle charges brought by the Securities and Exchange Commission and other state and federal authorities in connection with its fraudulent rigging of... Read More

K&L Gates on Dodd-Frank Wall Street Reform: Future Rulemaking
Posted on 26 Jul 2010 by K & L Gates LLP

Excerpt: On June 30, 2010, the House adopted the conference report on H.R. 4173, the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Bill" or "Bill"). The Senate is expected to follow suit when it returns from... Read More

Securities and Exchange Commission Sets Up Dodd-Frank Wall Street Reform and Consumer Protection Act Comment Submission Process
Posted on 29 Jul 2010 by Allison Bell

By Allison Bell, Senior Editor/Web Editor, National Underwriter Life & Health The U.S. Securities and Exchange (SEC) has set up a Dodd-Frank Wall Street Reform and Consumer Protection Act comment submission process. The SEC has posted... Read More

CFTC Proposes Commodity Pool Regulation And Private Fund Dual Regulation
Posted on 4 May 2011 by LexisNexis Emerging Issues Community Staff

by Susan I. Gault-Brown, Cary J. Meer and Lawrence B. Patent CFTC's proposed rule amendments would subject operators of private funds that trade futures contracts, commodity options, and swaps to commodity pool regulation and may subject private... Read More

Securities and Exchange Commission Adopts Investment Advisers Act of 1940 Rule 206(4)-5, Pay-to-Play, for Investment Advisers
Posted on 7 Sep 2010 by K & L Gates LLP

by Cary J. Meer, Mark Mehrespand and Ben Jacqmotte Excerpt: On July 1, 2010, the Securities and Exchange Commission (the "SEC" or "Commission") adopted Rule 206(4)-5 (the "Rule") under the Investment Advisers Act... Read More