Securities Law 
SEC Archive Holds Lessons for Dealing with Citigroup: The Ticker – Bloomberg
My column today focuses on the problem of recidivist violators of the securities laws, specifically Citigroup Inc. The Securities and Exchange Commission has accused the company’s broker-dealer subsidiary of fraud five times since 2003.
Izard Nobel LLP Announces Class Action Lawsuit Against OmniVision Technologies, Inc. – msnbc.com
The Complaint charges that OmniVision and certain of its officers and directors violated federal securities laws by concealing the loss of its exclusive contract with Apple. On August 25, 2011 OmniVision disclosed delays in the production of its new 8 … Continue reading
Sally Beauty Announces Increase in Size and Pricing of Senior Notes Offering – Yahoo Finance
The new Senior Notes have not been and will not be registered under the Securities Act of 1933, as amended, or the securities laws of any state and may not be offered or sold in the United States absent registration … Continue reading
Salt Lake City’s Parr Brown law firm gets top ranking – Salt Lake Tribune
real estate law, securities and capital markets law, securities regulation, tax law, trusts and estates law, and venture capital law. The firm also received 24 “Tier 2” rankings and one “Tier 3” score in patent law. According to its …
Citigroup Finds Obeying the Law Is Too Darn Hard: Jonathan Weil – BusinessWeek
Here’s what makes the SEC’s conduct doubly outrageous: The commission already had two cease-and-desist orders in place against the same Citigroup unit, barring future violations of the same section of the securities laws that the company now …
Law Suit Filed: MF Global MF / MFGLQ.PK Securities Fraud – Zimbio
New York, NY: A securities lawsuit, captioned DeAngelis v. Corzine, et al., is pending in the United States District Court for the Southern District of New York. The lawsuit alleges violations of United States securities laws on behalf of MF … Continue reading
United States: Securities Law and Cyber Disclosures… Perfect Together…Especially for Cyber and Tech Underwriters and Brokers. And Me – Mondaq
Its not often that worlds collide or that interests converge into one amorphous epiphany. But that’s exactly what happened to me recently, when the Division of Corporate Finance (DCF) of the U.S. Securities and Exchange Commission (SEC) issued a Disclosure … Continue reading
Former Delphi chief Battenberg fined in Securities Exchange Commission case – The Oakland Press
J. T. Battenberg III, who served as Delphi’s CEO from its start in 1999 until just before it filed for bankruptcy in 2005, must pay a $215,000 for violating U.S. securities laws by misrepresenting a $237 million payment to General … Continue reading
Health Management Associates, Inc. Announces Proposed Revolving Credit Facility, Term Loans and Private $1 Billion Debt Offering – Business Wire
The Notes will not initially be registered under the Securities Act or applicable state securities laws and may not be offered or sold in the United States absent registration or an applicable exemption from the registration requirements of the Securities … Continue reading
Citigroup Finds Obeying the Law Is Too Hard: Jonathan Weil – Bloomberg
Here’s what makes the SEC’s conduct doubly outrageous: The commission already had two cease-and-desist orders in place against the same Citigroup unit, barring future violations of the same section of the securities laws that the company now …
