securities-law

Wells Fargo spokesman Ancel Martinez said the settlement "is intended to avoid the distraction and expense of litigation" and to resolve class-action securities-law claims by investors in private-label mortgage-backed securities.

Wells Fargo Settles a Mortgage Suit David Benoit 2011

The new bounty program is broad, covering tips on any securities-law violation by any individual or company, public or private.

SEC Proposes Rules for Bounty Program Jessica Holzer 2010

Mr. Grimaldi didn't respond to emails seeking comment on whether his newsletters' statements conform to securities-law provisions.

Meet Suze Orman's Newsletter Guru Jason Zweig 2012

Separately, the agreement doesn't prevent investors in these trusts from continuing to press class-action or other claims against BofA related to fraud or securities-law claims.

Deal Shows How BofA's Pain Is Countrywide David Reilly 2011

It is unclear which firms received a letter, which includes language saying it shouldn't be construed as an indication the agency suspects securities-law violations.

SEC Launches Inquiry Aimed at Private Equity Gregory Zuckerman 2012

"Now that Congress is covered by the insider-trading law, if a member of Congress gives a tip to a hedge fund manager, that is going to be illegal," says Stephen Bainbridge , a securities-law professor at the University of California, Los Angeles School of Law.

New Bill Clouds Legality Of Tips Brody Mullins 2012

John Coffee , a securities-law professor at Columbia University, said Ernst may see federal court as a more favorable venue, since courts on the New York state level—where judges are elected and where the attorney general is a prominent political figure—could be seen as the attorney general's home turf.

Ernst Wins Lawsuit Venue Michael Rapoport 2011

Mr. Flynn, in his original whistleblower complaint, claimed more than 9,000 files were destroyed, including inquiries into potential securities-law violations at several major Wall Street banks.

SEC Scolded Over Records Andrew Ackerman 2011

They also wanted to know why it specifically allows the same investors to still go after the bank for securities-law violations.

Paulson Urged BofA to Fight Investor Claims Dan Fitzpatrick 2011

"There is some protection for speech that might lead the listener to infer that you were going to downgrade," said John Coffee , a Columbia University securities-law professor, who has studied ratings firms and taken part in congressional hearings on credit ratings regulation.

S&P Met With Bond Firms Matt Phillips 2011