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Results: 1-10 of 78

U.S. Securities and Exchange Commission brings civil action against former New Century executives
  • Locke Lord LLP
  • USA
  • January 6 2010

On December 7, 2009, the SEC charged three former executives of New Century Financial Corporation with securities fraud


Southern District grants motion to dismiss in F-Cubed securities class action
  • Locke Lord LLP
  • USA
  • November 9 2009

On October 5, 2009, the U.S. District Court for the Southern District of New York granted the defendants' motion to dismiss in Cornwell v. Credit Suisse on subject matter jurisdiction grounds


Two former Bear Stearns hedge fund managers acquitted of criminal fraud charges
  • Locke Lord LLP
  • USA
  • November 10 2009

Today, in the first criminal prosecution arising out of the subprime crisis, a jury acquitted two former Bear Stearns hedge fund managers, Matthew Tannin and Ralph Cioffi, of securities, wire and mail fraud


Financial Services Authority punishes failure to protect confidential customer information with hefty fines
  • Locke Lord LLP
  • United Kingdom
  • July 27 2009

On 22 July 2009 three HSBC companies: HSBC Life UK Ltd; HSBC Actuaries and Consultants Ltd; and HSBC Insurance Brokers Ltd, were fined £1.6m, £875,000, and £700,000 respectively by the UK Financial Services Authority (FSA


Cox appointed CEO of the Bermuda Monetary Authority (BMA) effective 1 January 2010
  • Locke Lord LLP
  • Bermuda
  • October 21 2009

Jeremy Cox will succeed Matthew Elderfield as CEO of the BMA at the beginning of next year


Speech by Sally Dewar - taking the FSA's corporate governance agenda forward
  • Locke Lord LLP
  • United Kingdom
  • April 6 2010

Sally Dewar, the Financial Services Authority's (FSA) managing director of Risk, gave a speech entitled "Taking the FSA's corporate governance agenda forward" at the City Corporate Governance and Remuneration Summit on 30 March 2010


SEC takes interest in life settlements
  • Locke Lord LLP
  • USA
  • October 23 2009

SEC Commissioner Mary L. Schapiro indicated on October 22, 2009 that life settlements are an "area of emerging interest" to the SEC


Broadcom settles options backdating securities class action
  • Locke Lord LLP
  • USA
  • January 4 2010

On December 29, 2009, Broadcom announced that it had agreed in principle to pay $160.5 million to settle a securities class action pending in United States District Court for the Central District of California against the company and certain of its current and former officers and directors


Bermuda Monetary Authority publishes its 2010 Business Plan
  • Locke Lord LLP
  • Bermuda
  • January 19 2010

On 14 January 2010 the Bermuda Monetary Authority (BMA) presented its regulatory framework Business Plan for the year ahead at its Annual General Meeting


Senate tees up financial regulatory reform following healthcare victory
  • Locke Lord LLP
  • USA
  • March 25 2010

Top lawmakers met with President Obama Wednesday in order to regain momentum on financial regulatory reform legislation in Congress