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Registered Rep.
June 19, 2007
Christina Mucciolo |
Investment Banks Win Major Antitrust Victory Investors claimed the banks manipulated the IPO market in the dot-com boom years between 1997 and 2000.   |
Registered Rep.
March 15, 2012
Kristen French |
Due Diligence: Step Back Rakoff, SEC-Citigroup Settlement Could Stand Judge Jed Rakoff may have overstepped his authority, said a federal appeals court today. In a procedural decision, the court wrote that the Securities and Exchange Commission has a good chance of overturning Rakoff's rejection of a $285 million SEC settlement with Citigroup. |
Registered Rep.
March 23, 2006
Kevin Burke |
Investment Fraud Suit Brought By Brokers Blocked By The Supremes It might just have gotten harder to sue your firm and win money for bad research. The Supreme Court unanimously ruled that investors who believe they were duped into holding stocks by a brokerage firm are precluded from filing large class-action lawsuits in state courts. |
BusinessWeek
July 9, 2007
Michael Orey |
The Supreme Court: Open For Business The Roberts Court is showing a willingness to referee corporate concerns. |
Salon.com
September 26, 2000
Andrew Leonard |
Supremes put Microsoft case on slow track The high court's refusal to hear the Microsoft appeal puts the software giant's fate in friendly hands. |
Home Theater
June 29, 2007 |
Supreme Court Reconsiders Price Fixing The Supreme Court adopted a looser standard for price fixing yesterday, ruling that manufacturers may sometimes set minimum prices for products without violating antitrust statutes. |
Pharmaceutical Executive
August 1, 2011
Jill Wechsler |
The Supremes Shape Pharma A number of important decisions from the Supreme Court will affect drug marketing, research, and regulation |
The Motley Fool
February 23, 2007
Dan Caplinger |
Monopolies and the Law Antitrust laws protect consumers against collusion. For investors, antitrust laws represent a barrier to what may otherwise be a lucrative merger or acquisition. |
Financial Planning
July 1, 2011
Donna Mitchell |
Hot Topics FINRA steps in... $80 million settlement of two class-action suits by Securities America... Whistleblower payday... |
On Wall Street
July 1, 2009
Mark Astarita |
The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work. |
PC World
January 22, 2002
Matt Berger |
AOL Sues Microsoft Over Browser War Netscape subsidiary's civil suit takes basis in federal antitrust case rulings, seeks compensation... |
Salon.com
June 28, 2001
Andrew Leonard |
Game not over Microsoft broke the law, says the appellate court. But the company is still a long way from losing the biggest antitrust case in a generation... |
InternetNews
April 18, 2006
Erin Joyce |
Microsoft Dodges Class Action Bullet A federal judge denies appeals by plaintiffs for class action status that could have cost Microsoft $10 billion in rebates. |
InternetNews
September 17, 2010 |
Lawmakers Mull Antitrust in the Age of Google House subcommittee weighs the state of competition in the Internet economy, exploring whether current antitrust laws are sufficient to police evolving digital markets. |
InternetNews
October 17, 2007
Stuart J. Johnston |
Microsoft Lawsuits to Continue Microsoft's past seems to be catching up as two lawsuits against it are cleared to proceed. |
The Motley Fool
June 5, 2007
Rich Duprey |
SEC Backs Scheme Liability In an effort to deflect the criticism that it's too pro-business, the SEC has decided to back a theory that may ultimately prove to be a particularly shareholder-hostile action. |
Financial Planning
September 1, 2008
Andrew Ackerman |
SEC Probes Wachovia The Securities and Exchange Commission enforcement staff has notified Wachovia Bank that they may recommend the SEC file charges against it, as a result of an investigation into alleged anti-competitive bidding practices. |
InternetNews
October 4, 2005
Tim Gray |
Miers, Roberts Share Tech History The chief justice and supreme court nominee both had hands in Microsoft cases, but on different sides of the aisle. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
Fast Company
David Lumb |
The European Union Is Preparing To Sue Google, And It Wants A Fight As the The Wall Street Journal reports, Margrethe Vestager wants a landmark case that will set precedent for how tech mega corporations operate in the EU. |
InternetNews
June 22, 2010 |
Intel and FTC Agree to Suspend Antitrust Trial Chip giant is in talks with authorities at the Federal Trade Commission to reach a settlement in the agency's antitrust suit, alleging monopolistic and anticompetitive behavior. |
InternetNews
October 28, 2005
Tim Gray |
Microsoft May Lose South Korean Market South Korea's Fair Trade Commission has reportedly been investigating charges that Microsoft has breached antitrust laws by bundling streaming video and instant messaging into Windows software. |
Salon.com
June 28, 2001 |
Microsoft wins -- or does it? Experts and observers analyze the appeals court's ruling in the antitrust case... |
InternetNews
November 8, 2004
Jim Wagner |
Microsoft Settles Antitrust Charges With Novell Microsoft cleared more legal cases off its plate Monday by settling with Novell and the Computer & Communications Industry Association over antitrust and other charges. |
Financial Planning
November 1, 2006
Marianne Czernin |
Compliance Tips Registered reps have lots of eyes watching them. Supervisors, compliance personnel, sales directors, and operations all scrutinize reps' activities. But these aren't the only people interested in reps' movements. |
Information Today
July 11, 2013 |
Judge Rules Against Apple in Price-Fixing Trial The ebook price-fixing trial that began on June 3 and ended 17 days later has finally come to a close with the release of Judge Denise Cote's ruling on July 10. And the news isn't good for Apple. |
InternetNews
December 22, 2004
Erin Joyce |
Microsoft To Unbundle Media Player by January Microsoft said it plans to offer a version of Windows in European markets with its media player stripped out by January, following a European court ruling that upheld antitrust penalties against the company. |
InternetNews
June 21, 2004
Michael Singer |
Supreme Court Orders Intel Documents Released A spat between the two largest chipmakers has ramifications for all overseas business practices. |
The Motley Fool
December 26, 2006
Dan Caplinger |
The SEC's Gift to You Securities regulation helps guard investors against fraud. |
InternetNews
December 22, 2004
Erin Joyce |
Court Upholds EU's Penalties Against Microsoft A European court has upheld a European Commission ruling that Microsoft must unbundle its media player from the Windows operating system and allow access to some of its application programming interface for software companies. |
BusinessWeek
June 22, 2011
Greg Stohr |
Wal-Mart Case: Another Loss for Trial Lawyers The Supreme Court's ruling is the latest in a series of decisions that make it clear the justices aim to curb mass litigation. |
Financial Planning
November 1, 2009
Robert Pozen |
Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors. |
Salon.com
June 16, 2000
Damien Cave |
Did Judge Jackson goof? By forcing Microsoft to comply with conduct remedies in 90 days, Jackson may have put the case exactly where he doesn't want it -- in the Court of Appeals. |
Wall Street & Technology
July 1, 2005
Maria Santos |
Fast Facts According to the Securities Industry Association's 2004 Investor Survey, nine out of 10 investors are "very" or "somewhat" satisfied with the service provided by their investment professional. |
CFO
December 1, 2011
Marielle Segarra |
Mergers under a Microscope? A busy year for the Department of Justice, yes, but it probably does not signal a trend. |
The Motley Fool
June 30, 2005
Tom Taulli |
IPOs Quiet No More The SEC can agree on some things, such as allowing companies to say more during an offering. So, how does this help investors? |
Investment Advisor
February 2010 |
Securities Lawsuits Down The number of federal securities class action law suits filed dropped sharply in 2009. |
PC World
November 1, 2002
Garretson & Ferranti |
Antitrust Decision: A Long Time in the Making Relive some of the key moments in the long battle between Microsoft and the Department of Justice. |
InternetNews
March 17, 2008
Stuart J. Johnston |
Supremes Reject Microsoft's Novell Appeal The U.S. Supreme Court refused to hear Microsoft's appeal of the antitrust case Novell filed more than a decade ago. |
InternetNews
June 25, 2004
Susan Kuchinskas |
Microsoft Looks to Stay EU's Hand Redmond files a formal request to stay the EU order to unbundle Windows and Windows Media Player. |
InternetNews
June 30, 2004
Roy Mark |
Microsoft Prevails in Antitrust Appeal The U.S. Court of Appeals denies Massachusetts' challenge to the Department of Justice's landmark antitrust settlement with Microsoft. |
On Wall Street
February 1, 2011
Alan J. Foxman |
Reading The Fine Print Advisors write in for legal advice regarding contracts, client lawsuits, non-compete agreements and other concerns. |
BusinessWeek
November 18, 2010
Greg Stohr |
Wal-Mart vs. a Million Angry Women Wal-Mart wants the Supreme Court to block a huge gender-bias suit. |
Information Today
September 10, 2013 |
Federal Court Restricts Apple's Ebook Deals Apple must comply with a series of new restrictions on its ebook contracts, according to an injunction issued last week by a federal court in New York City. |
InternetNews
November 9, 2004
Susan Kuchinskas |
Microsoft's Practical Matters Redmond's latest settlements reflect a realistic outlook on its own part, and on that of its rivals. |
PC World
June 28, 2001
Frank Thorsberg |
Both Sides Claim Antitrust Win; Now What? Pundits, participants assess the continuing question of punishment for Microsoft, which escapes breakup for now... |
InternetNews
October 5, 2005
Susan Kuchinskas |
Ballmer and The EU: Business as Usual? Microsoft's CEO, Steve Ballmer, makes another of his regular treks to Brussels to confer with antitrust enforcers. |
Registered Rep.
May 10, 2007
Kristen French |
SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC. |
Registered Rep.
March 30, 2007
John Churchill |
Surprise! FPA Wins Lawsuit Against SEC and the Broker-Dealer Exemption Three years after suing the SEC over the controversial "Broker Dealer Exemption" rule, a federal court has ruled that the SEC exceeded its authority in adopting the rule. |
Investment Advisor
April 2009
Melanie Waddell |
All About Enforcement It's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm |
