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Tag: Litigation

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Regulation, enforcement & litigation
Johnson & Johnson has spent billions on cases about one of its most popular products - talcum powder. As its executives try a brazen new legal...
News
Regulation, enforcement & litigation
Why leave a banking career for expert witnessing? The role brings intellectual stimulation. It is an excellent leverage of your expertise, experience or academia. The tasks...
Investments & markets
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$700,000 on decorating, $345,000 on jets and yachts, $136,000 on casinos and nightclubs, $6.9 m in credit card payments... The licensing rights didn't exist. It was...
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Regulation, enforcement & litigation
"It’s unconscionable that FINRA would stack the deck against American investors", says PIABA, the plaintiff attorney association. A judge has excoriated FINRA for having helped Wells...
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Regulation, enforcement & litigation
You always see the glitz around hedge fund portfolio managers - the parties, the mansions, the cars and the boats. It's not always like that. This...
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Regulation, enforcement & litigation
The good Samaritan William Neil "Doc" Gallagher was actually a Ponzi artist defrauding the Texas Christian community. He has been sentenced to three life sentences plus...
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Regulation, enforcement & litigation
"Neither admit nor deny" may be removed from SEC settlements. As part of the SEC's new stated intent on deterrence, the agency will start asking again...
Derivatives
Investments & markets
UBS got flack for recommending VIX ETFs to its clients. This suitability case has in fact deep roots in a significant ETF classification challenge: many product...
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Regulation, enforcement & litigation
When you are spoofing gold futures, don't brag about it in chat rooms. A few gold futures traders got one year in the clink for market...
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Regulation, enforcement & litigation
In a new version of the transfer pricing strategy, Tom Sandell virtually relocated his hedge fund from New York to Florida to avoid NY tax liabilities...


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