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Articles 1-293 out of 293 article(s) Title Author Type Date Words Facebook sued by unhappy shareholders. May 23, 2012 249 Former TMST, Inc. (f/k/a Thornburg Mortgage) Executives Respond to SEC Lawsuit. Mar 13, 2012 905 Space Coast Credit Union Sues Investment Banks over Fraudulent Mortgage Securities. Mar 12, 2012 754 Financial planner charged with theft. Feb 10, 2012 455 Roberts remains on Gensler's trail. Feb 6, 2012 428 SEC's Khuzami predicts More "Clawback" cases. Jan 1, 2012 215 Judge strikes down another suit in New London case. Samaad, Michelle A. Dec 21, 2011 712 Entwistle & Cappucci LLP Announces Updated Class Definition in Lawsuit Against J.P. Morgan Chase & Co. Related to the Madoff Ponzi Scheme. Nov 18, 2011 647 Six Days Remain Before Deadline in Case Against Bank of America, says Hagens Berman. Nov 17, 2011 519 Robbins Umeda LLP Announces the Commencement of a Class Action Lawsuit Against MF Global Holdings Ltd. Nov 8, 2011 633 Hagens Berman Reminds Investors With Losses Greater Than $500,000 That 18 Days Remain Before Deadline in Case Against Bank of America. Nov 5, 2011 477 Block & Leviton Files a Securities Class Action Lawsuit Today Against Certain Officers and Directors of MF Global Holdings Ltd. ("MF Global" or the "Company"). Nov 3, 2011 684 Hagens Berman Notifies Investors With Losses Greater Than $500,000 of Deadline in Case Against Bank of America. Oct 26, 2011 505 41 Days Remain before Deadline in Bank of America Securities Case, Hagens Berman Reminds Investors. Oct 12, 2011 514 Court rejects challenge to ADEA waiver. Achille, Roger S. Oct 1, 2011 382 CREW Sues SEC for Illegal Document Destruction. Sep 27, 2011 412 The Law Office of Robbins Umeda LLP Announces Class Action Suit Against BJ's Wholesale Club, Inc. Aug 24, 2011 556 AIG sues Bank of America for $10b. Aug 10, 2011 509 AIG sues BofA for $10B over bad mortgages. Aug 8, 2011 159 AIG sues BofA for $10B over bad mortgages. Aug 8, 2011 161 Orient Paper Wins Motion to Dismiss Complaint Filed by Tribank Capital. Jul 19, 2011 739 Lieff, Cabraser, Heimann & Bernstein, LLP Announces Class Action Lawsuit Against China Century Dragon Media, Inc. (CDM). Apr 15, 2011 834 -Iron Mountain in battle with investors. Brief article Mar 24, 2011 180 Allstate sues banks over fraudulent sales of mortgage-backed securities. Mar 2, 2011 172 JPMorgan Chase turned a blind eye to Madoff's epic Ponzi scheme, alleges $6.4 bln lawsuit. Feb 5, 2011 1054 Committee for Change: Tom Courtney Involved in Lawsuit Concerning City of Chicago Parking Meter Deal. Jan 12, 2011 301 ACA Financial Guaranty Sues Goldman Sachs for Fraud. Jan 6, 2011 582 Levi & Korsinsky, LLP Announces the Filing of a Class Action Lawsuit Against J.Crew Group, Inc. and Its Board of Directors. Dec 23, 2010 376 Overstock Adding Racketeering Allegations to Ongoing Lawsuit vs. Goldman Sachs and Bank of America Subsidiary Merrill Lynch. Dec 16, 2010 589 Nomura's British arm, others sued by trustee in U.S. fraud case. Dec 13, 2010 220 HSBC in law suit. Dec 7, 2010 202 LebanonAEs surging economy imperiled, as Hariri indictments loom. Dec 2, 2010 814 SEC has five prominent fraud cases in one month: July was a busy month for the SEC. Five of the enforcement cases charged or settled that month involved large, well-known companies, including KBR, Goldman Sachs, Dell, general electric, and citigroup. Verschoor, Curtis C. Dec 1, 2010 1497 Madoffs face 40 new lawsuits in US. Nov 29, 2010 286 Madoffs face 40 new lawsuits in US. Nov 28, 2010 286 Madoff Trustee Announces Lawsuit Filings Against Madoff and Alpern Family Members and BLMIS Employees. Nov 26, 2010 616 Hagens Berman Files Class Action Suit Against Charles Schwab Alleging Fraud. Sep 3, 2010 760 New London members sue. Jul 28, 2010 252 Retired Court Clerk Sues Wachovia - Unsuitable Recommendations Cracked Nest Egg. Jul 6, 2010 498 Lehman estate sues Nomura to invalidate claims over contracts. Apr 26, 2010 218 Securities blanket: UBS settles student loan suit for $20m. Sanders, Bob Apr 23, 2010 653 Wall St giant in civil fraud case; Shares tumble as US watchdog files lawsuit. Apr 17, 2010 426 Two licensed brokers, three attorneys indicted on mortgage fraud charges. Apr 7, 2010 142 Hagens Berman LLP: Judge Rules Charles Schwab Violated Law in YieldPlus Mutual-Fund Case. Mar 31, 2010 637 Lehman understated leverage using repos. Brief article Mar 12, 2010 257 As crisis grew, Lehman exceeded own risk limits. Brief article Mar 12, 2010 167 Scheindlin revisits Zubulake. Mar 1, 2010 484 Berman DeValerio Files Class Action Lawsuit on Behalf of Overcharged Investors. Feb 25, 2010 868 NCUA files suit on new London loss. Samaad, Michelle A. Feb 10, 2010 624 Statement by Mary Jo White of Debevoise & Plimpton LLP on N.Y. Attorney General Lawsuit against Bank of America, Former CEO Ken Lewis and Another BofA Executive. Feb 4, 2010 413 SEC sues Bank of America again, on Merrill losses. Jan 15, 2010 336 Conning accounting. Peters, Charles Brief article Jan 1, 2010 95 Federal Court Appoints Girard Gibbs LLP Interim Co-Lead Counsel in Class Action Lawsuit Pending on Behalf of Investors of Provident Royalties and Shale Royalties. Dec 2, 2009 564 Girard Gibbs LLP Announces Class Action Lawsuit Filed on Behalf of Investors Who Purchased Medical Capital Notes. Nov 13, 2009 531 NYC residents sue over denial of loan mods under national mortgage program. Nov 10, 2009 127 SEC says Acxiom target of insider deals, files suit. Nov 9, 2009 172 Why we should remember Jon Lovelace: the lessons we're still learning, 80 years after the crash of '29. Sedoric, Tom Nov 6, 2009 622 City women sue 'sexist' bank for pounds 3M; TRIBUNAL. Nov 4, 2009 144 Mid-Day Minute - Sept 28. Sep 28, 2009 391 Daily Wrap Up - Sept 25. Sep 25, 2009 431 Girard Gibbs LLP Announces Class Action Lawsuit Filed Against Wachovia Corporation (NYSE: WB). Sep 15, 2009 596 Daily Wrap Up - Sept 14. Sep 14, 2009 417 Standing room only? Brief article Aug 17, 2009 138 Former Madoff CFO faces charges. Brief article Aug 7, 2009 108 BofA settles Merrill bonus case with SEC for $33 mln. Aug 4, 2009 480 Daily Wrap Up - August 3. Aug 3, 2009 662 Mid-Day Minute - July 15. Brief article Jul 15, 2009 199 Calpers sues credit ratings agencies over SIVs. Brief article Jul 15, 2009 133 Turtle Bay foreclosure suit on $38M former Lehman loans. Pincus, Adam Jul 1, 2009 322 CMBS AAA spreads tighten as delinquencies rise. Case overview Jun 1, 2009 608 Fairfield sued by Madoff Trustee for $3.54 billion. Brief article May 18, 2009 129 Despite tightening regulation, Luxembourg funds seek advantage: report. Brief article May 18, 2009 253 MBIA sued by Bank of America, J.P. Morgan and 16 banks over split divisions. Brief article May 13, 2009 151 Swig sued for failing to pay $533K in benefits at 25 Broad. Jones, David Apr 9, 2009 262 Lehman Brothers case. Mar 16, 2009 338 Looking for trouble: with litigation rising, insurers advise companies to shore up their liability defenses. Cavanaugh, Bonnie Brewer Survey Mar 1, 2009 1636 Cotchett, Pitre & McCarthy Announces Class Action Lawsuit On Behalf of Holders and Purchasers of Bank of America Stock. Feb 26, 2009 363 Swig withdraws bankruptcy court motion against Lehman in foreclosure case. Jones, David Feb 10, 2009 533 Coalition of Insurance Companies and Independent Marketing Organizations File Lawsuit Against the SEC Over New Annuities Regulation. Jan 16, 2009 549 Girard Gibbs LLP Announces Class Action Lawsuit Filed Against UBS Financial Services Inc. Nov 7, 2008 511 A case of sunburn; Wall Street turmoil hits home in Central Massachusetts. Editorial Oct 23, 2008 250 Evergreen Solar Files Suit Against Barclays and Lehman Brothers in Lehman Brothers Bankruptcy Cases. Oct 21, 2008 754 Coughlin Stoia Geller Rudman & Robbins LLP Files Class Action Suit Concerning Certain Mutual Funds Offered by Regions Morgan Keegan Trust. Oct 6, 2008 905 Entwistle & Cappucci LLP Announces Class Action Lawsuit Against Fannie Mae Senior Executives and Underwriters of Series T Preferred Offering. Oct 3, 2008 1011 Gainey & McKenna Commences Class Action Lawsuit on Behalf of Lehman Brothers Holdings Inc. Preferred Series J Stock Investors. Sep 26, 2008 667 Wolf Haldenstein Adler Freeman & Herz LLP Commences Class Action Lawsuit on Behalf of Lehman Brothers Holdings Inc. Preferred Series J Stock Investors. Sep 24, 2008 829 Aetna Inc. (Hartford CT) said it owned about $132 million in debt from bankrupt investment bank Lehman Brothers Holdings Inc. and $102 million in insurer American International Group Inc. as of last Wednesday. Brief article Sep 22, 2008 162 Ameriprise Financial Sues Reserve Management Co. to Protect Retail Investors. Sep 19, 2008 369 UBS unit blamed for N.H. student loan crisis: state regulators file complaint over auction-rate securities collapse. Feingold, Jeff Aug 29, 2008 758 ADCB sues US banks and firms. Aug 27, 2008 276 Cazenove trader denies insider dealing case; FSA. Jul 25, 2008 247 Law Offices of Curtis V. Trinko, LLP Files Class Action Lawsuit against JP Morgan Chase & Co. Jun 25, 2008 499 Ex-Nomura man, friend indicted for insider stock trading. Jun 9, 2008 283 Girard Gibbs LLP Announces Class Action Lawsuit Filed Against Bank of America Corporation (NYSE:BAC). May 22, 2008 751 Girard Gibbs LLP Announces Class Action Lawsuit Filed Against RBC Dain Rauscher Inc. (NYSE:RY). May 12, 2008 775 U.S. hedge fund hit by Marubeni fraud case: report. Apr 21, 2008 201 Wolf Haldenstein Adler Freeman & Herz LLP Commences Class Action Lawsuit on Behalf of Schwab YieldPlus Fund Purchasers. Apr 16, 2008 630 Girard Gibbs LLP Announces Class Action Lawsuit Filed Against Wells Fargo & Co. (NYSE: WFC). Apr 15, 2008 677 Hagens Berman Sobol Shapiro Announces Class Action Lawsuit Against Charles Schwab Concerning YieldPlus Funds. Apr 10, 2008 723 Girard Gibbs LLP Announces Class Action Lawsuit Filed Against Raymond James Financial Inc. (NYSE:RJF). Apr 8, 2008 730 Girard Gibbs LLP Announces Class Action Lawsuit Filed Against E* TRADE Financial Corporation (Nasdaq:ETFC). Apr 2, 2008 718 Girard Gibbs LLP Announces Class Action Lawsuit Filed Against Citigroup Inc. (NYSE:C). Mar 27, 2008 721 Girard Gibbs LLP Announces Class Action Lawsuit Filed Against Merrill Lynch & Co., Inc. (NYSE:MER). Mar 25, 2008 735 Hagens Berman Sobol Shapiro Files Proposed Class-Action Lawsuit on Behalf of Investors in the Schwab YieldPlus Funds. Mar 24, 2008 583 Girard Gibbs LLP Announces Class Action Lawsuit Filed Against UBS AG (NYSE:UBS). Mar 21, 2008 721 Girard Gibbs LLP Announces Class Action Lawsuit Filed Against TD Ameritrade Holding Corporation (Nasdaq: AMTD). Mar 20, 2008 746 Allegheny Energy Signs Agreement to Settle Merrill Lynch Case. Jan 28, 2008 511 Want to cut litigation costs? Get executives involved: effectively defending against a lawsuit requires preparation and participation by senior executives, especially in an era in which huge sums may be at stake over routine items like emails. Emory, Frank E., Jr. Dec 1, 2007 1579 Spector, Roseman & Kodroff, P.C. Announces Class Action Lawsuit Against Merrill Lynch & Co., Inc. Nov 30, 2007 373 Concord: The state Bureau of Securities Regulation is accusing Ameriprise Financial Services of breaking state security laws, forging and tampering with documents and limiting oversight by regulators. Brief article Nov 9, 2007 96 Morgan Stanley and Ronald A. Katz Technology Licensing, L.P. Settle Patent Lawsuit and Enter into License Agreement. Nov 7, 2007 507 Merrill Lynch & Co., Inc. (MER) Reports $8 Billion Charge Related to Collateralized Debt Obligations and is Sued for Securities Fraud. Nov 3, 2007 616 Appeals Court Rules in Favor of Allegheny Energy in Merrill Lynch Case. Aug 31, 2007 725 Orrick Prevails for Charles Schwab & Company in Marshall, Texas Patent Suit. Aug 22, 2007 439 LEAD: Nikko sues 3 ex-execs on accounting fraud, demanding 3.4 bil. yen. Apr 30, 2007 555 Federal Appeals Court Affirms ICAP's View in eSpeed Patent Case. Mar 20, 2007 221 4TH LD: Nikko Cordial to sue ex-top executives over accounting fraud. Mar 5, 2007 778 Investment firms sue. Mar 1, 2007 172 2ND LD: Nikko eyes conclusion by late Feb. on accounting fraud damages suit. Feb 19, 2007 406 First Montauk Financial Corp. Sues Edward Okun and Affiliates for Breach of Merger Agreement. Jan 11, 2007 636 Shareholders Case Against PHLX and Wall Street Investors Allowed to Proceed. Dec 11, 2006 354 High court gives clarity to litigation venues: in a key decision issued earlier this year, the Supreme Court has restricted the ability of plaintiffs' attorneys to shop for accommodating state venues for class action suits. Most must now be pursued in more predictable federal courts. Goldfarb, James K. Dec 1, 2006 1581 4TH LD: Mizuho Securities sues TSE for 41 bil. yen over botched trading. Oct 30, 2006 331 Merrill Lynch has been charged with discrimination against African-American brokers according to a recent complaint filed in a Chicago court. Sep 1, 2006 88 Mehri & Skalet, PLLC and Sprenger & Lang, PLLC, On Behalf of Female Brokers, File Class Action Suit and Announce Progress Toward Nationwide Settlement With Morgan Stanley. Jun 23, 2006 368 E-mail litigation journeys into uncharted territory. Smith, Allen Apr 1, 2006 789 Averting potentially costly electronic discovery lapses: while lawyers have been concerned about the implications of electronic discovery for some time, recent court judgments--including a $1.45 billion verdict--have made this a significant financial issue. Wetmore, David Dec 1, 2005 1589 Morgan Stanley's email bounceback. Jun 10, 2005 632 Equal pay for the sexes: high-profile lawsuits make the case for investigating gender pay and promotion equity at your organization. Stites, Janet May 1, 2005 2399 Jacuzzi fights judgment. Brief Article Apr 25, 2005 301 The end of the ostrich defense: While it did not set new precedents or change the world, Zubulake v UBS Warburg signals a big shift--rational analysis is at least entering the realm of electronic records and the courts. Montana, John C. Jan 1, 2005 2961 Zubulake: The real issues. Montana, John C. Jan 1, 2005 1812 Wall Street rogues: fast cars, women, and cash. These financial whizzes had it all. But some of them crossed the line to get rich and ended up serving hard time, creating scandals that continue to affect the black investment community. Hughes, Alan Aug 1, 2004 4191 Equity and the street. Mokhiber, Russell Brief Article Jul 1, 2004 124 Bailey named deputy chief accountant. Williams, Kathy Feb 1, 2004 530 Settlement nets $4 million for securities agency. (Inside Business). Henry, John Brief Article May 5, 2003 249 Is your firm safe from Cybersmear? (Internet). Cataldo, A.J.; Killough, Larry N. Jan 1, 2003 2490 ATRS dispute is not first for Holman. Waldon, George Dec 16, 2002 1812 "The Pension Offensive". (Pensions and Benefits). Greifer, Nicholas; Lemov, Penelope Abstract Dec 1, 2002 247 Breakers east. (Whispers). Brief Article Nov 25, 2002 181 More mystery man. (Whispers). Brief Article May 13, 2002 240 What Goes Around. Aug 20, 2001 230 A.G. Edwards Sued Over Callable CDs. Friedman, Mark Brief Article Aug 20, 2001 218 Settlement. Brief Article Jul 16, 2001 167 Stockbroker Settlement. Brief Article Jun 11, 2001 83 Suing Departing Stockbrokers Becoming Standard Procedure. FRIEDMAN, MARK May 21, 2001 1913 Ex-Employee Prevented From Soliciting Old Clients. Friedman, Mark Brief Article Apr 2, 2001 179 AMERICAN RESIDENTIAL FILES LAWSUIT. Brief Article Feb 1, 2001 223 U.S. SUPREME COURT FINDS ERISA NOT A BAR TO SUITS AGAINST THIRD PARTIES INVOLVED IN FIDUCIARY'S BREACH OF DUTY. Stempel, Jeffrey W. Sep 1, 2000 771 SEC Reaches Historic Yield-burning Settlement. Brief Article Jun 1, 2000 157 Maumelle Poultry Heiress Seeks Damages for 'Churning'. WALDON, GEORGE Jan 10, 2000 1513 Broker Faces New Scrutiny. WALDON, GEORGE Brief Article Nov 22, 1999 1172 e-Net, Inc. Issues Statement Regarding Legal Actions Against Prudential Securities, Inc. and American Stock Transfer & Trust Co. Oct 26, 1998 601 CRIIMI MAE Sues Merrill Lynch; Third Suit in a Week Charging Improper Actions By a Secured Creditor Links Merrill's Actions to Collateral Call That Precipitated Reorganization Filing. Oct 22, 1998 419 CRIIMI MAE Sues Morgan Stanley to Protect its CMBS Assets; Judge in Separate Action Restrains Citicorp from Taking CRIIMI MAE's CMBS Collateral. Oct 21, 1998 446 Commissioner To Investigate Corrupt Securities Bureaucrat. Oct 16, 1998 356 Asensio & Company: Hemispherx Attempts to Prevent Stock Sale. Sep 30, 1998 512 Roney Sued for Gambling With Clients' Money, Reports Charfoos & Christensen, P.C. Sep 24, 1998 286 NASD Regulation Sanctions Hibbard, Brown Branch Managers. Sep 23, 1998 450 NASD Regulation Continues Microcap Market Focus; Complaints Name Brokers At Greenway Capital and Kensington Wells. Sep 23, 1998 1022 S.W. Ryan & Company, Inc. and Generation Capital Associates Announce the Filing of an Action Against Bonso Electronics International, Inc. Aug 28, 1998 247 Nikko Agrees to Settle SEC Action Aug 27, 1998 326 Maidstone Financial Fined, Expelled; Four Brokers Also Settle Fraud Charges; Investors to Receive Restitution. Jun 24, 1998 631 Spector & Roseman, P.C. Announces Class Action Lawsuit Filed Against Shopping.com Inc. and its Officers and Directors, Waldron & Co. and Wedbush Morgan Securities Inc. Alleging Misrepresentations and Market Manipulation. May 7, 1998 580 Class Action Filed Against Conseco, Inc. and Sands Brothers & Co., Ltd. Apr 13, 1998 561 NASD Regulation Sanctions Morgan Stanley and Seven Traders. Apr 13, 1998 1058 SeQuester Holdings Files $114 Million Lawsuit Against Prudential Insurance Company of America Mar 13, 1998 261 McM Derivative Action Settled Feb 24, 1998 199 Asensio & Co.: Zonagen's Vasomax Patent Application Exposed. Jan 14, 1998 408 NASD Regulation Charges Monroe Parker Securities, Inc., Principals With Manipulation, Fraud, And Excessive Markups. Jan 5, 1998 546 Plaintiffs Reach Landmark National Agreement With Smith Barney to Settle Discrimination, Harassment Claims Nov 18, 1997 850 THERMO TECH(TM) TECHNOLOGIES INC. Oct 22, 1997 543 The Law Firms of Levy Davis Maher & Klein, LLP and Abbey, Gardy & Squitieri, LLP Announce The Filing of A Racial Discrimination Suit Against Credit Lyonnais North America, Inc., Credit Lyonnais Securities (USA), Inc., Credit Lyonnais - U.S. Branches, d/b/a Credit Lyonnais Oct 17, 1997 544 Piper Jaffray Companies Settles Last of Derivatives Class Action Suits. Oct 15, 1997 608 H & R Enterprises Takes Legal Action Against the B.C. Securities Commission for Wrongful Conduct. Oct 9, 1997 735 State Court Refuses to Hear Pennzoil's Lawsuit to Remove Smith Barney as UPR Adviser Oct 3, 1997 261 State Court Refuses to Hear Pennzoil's Lawsuit to Remove Smith Barney as UPR Adviser Oct 2, 1997 215 Court Moves Smith Barney Lawsuit To Federal Court Oct 2, 1997 221 Merrill Lynch Announces Agreement to Settle Class Action Lawsuit Oct 1, 1997 502 Pennzoil Sues Smith Barney for Improperly Using Confidential Pennzoil Information in Its Advisory Capacity to UPR Sep 22, 1997 339 Notice of Pendency of Class Action against Bear Stearns & Company, Inc. and Others. Aug 22, 1997 545 Key West Securities, Inc. Issues A Second Market Warning in JYRA Shares. Aug 20, 1997 153 NASD Regulation Fines GKN Securities And 29 Brokers $725,000; Firm Must Also Pay $1.4 Million In Restitution To Investors. Aug 14, 1997 956 Montgomery Securities Settles NASDAQ Market Maker Litigation for $20 Million. Aug 7, 1997 149 Pier 1 gets settlement. Brief Article Jul 28, 1997 121 Class Action filed against Electroscope Inc., John G. Kinnard & Co., and Electroscope's Board of Directors alleging violations of the Federal Securities Laws. Jun 6, 1997 473 Class Action Suit Filed Against Prudential Securities, Inc. Apr 14, 1997 237 Serengeti Eyewear Responds to Action by Underwriter Mar 26, 1997 221 Exten Industries announces settlement agreement with Union Bank. Mar 24, 1997 269 Class Action Suit Filed Against Sterling Foster Feb 11, 1997 322 Investment fraud charges filed in K.D. Trinh case. Feb 3, 1997 561 Law Firm Announces Notice of Pendency of Class Action Against Sterling Foster and Co., Inc. Jan 17, 1997 451 New York State Supreme Court Rules That SEITA Can Pursue Financial Derivative Products Litigation Against Salomon Brothers International Limited. Jan 15, 1997 245 The MicroCap Fund and Commonwealth Associates reach a settlement of their lawsuit. Dec 27, 1996 173 Joseph Jett wins NASD arbitration; all claims by Kidder Peabody rejected. Dec 19, 1996 206 Foundation For New Era Philanthropy Bankruptcy Trustee, Non-Profits And Prudential Securities Reach Settlement Nov 15, 1996 550 Class Action Suit Filed Against CellNet Data Systems, Its Officers and Directors, and Morgan Stanley Nov 4, 1996 420 Total World Telecommunications, Inc., Settles Lawsuit With Morgan Stanley & Co. Oct 29, 1996 226 JMCG Commences Litigation Activities Oct 14, 1996 144 New York Investors file Class Action charging Dean Witter with Managed Futures Fraud Scheme. Sep 19, 1996 267 $300 Million Class-Action Suit Charges Dean Witter with Widespread Fraud in Sale of Managed Futures Funds. Sep 9, 1996 536 PIPER JAFFRAY INC. ANNOUNCES $10 MILLION SETTLEMENT AGREEMENT IN BONNEVILLE PACIFIC LITIGATION. Aug 13, 1996 459 NYNEX awards scholarships to 13 Eastern National Urban League Affiliates. Aug 13, 1996 467 Refco Securities comments on SEC's settlement announcement. Aug 7, 1996 330 NOTICE OF PENDENCY OF CLASS ACTION AGAINST INTEGRATED COMMUNICATIONS NETWORK, INC. Aug 1, 1996 296 NASAA LLOYD'S COORDINATING COMMITTEE ANNOUNCES AGREEMENT WITH LLOYD'S OF LONDON Jul 11, 1996 470 INVESTOR WINS DECISION INVOLVING MERRILL LYNCH NOT ADVISING ON BOND FUND RISK Jul 9, 1996 307 Bear, Stearns & Co. Inc. makes announcement. Jun 27, 1996 208 INVESTOR WINS $105,850 DECISION INVOLVING OLDE DISCOUNT CORPORATION'S MISHANDLING OF ACCOUNT; ARBITRATORS' AWARD EXCEEDS LOSSES May 15, 1996 364 Lawrence Group commences action against MTI. May 10, 1996 431 CANTOR FITZGERALD INC. AND CF GROUP MANAGEMENT, INC. REACH SETTLEMENT AND WITHDRAW LAWSUITS May 7, 1996 519 The MicroCap Fund filed an action today against Commonwealth Associates, Michael S. Falk, and Steven Warner. Apr 19, 1996 425 INVESTORS IN AIRCRAFT LIMITED PARTNERSHIPS FILE MULTIMILLION-DOLLAR SUIT AGAINST KIDDER, PEABODY Apr 9, 1996 682 CALIFORNIA INVESTORS FILE MULTIMILLION-DOLLAR SUIT OVER FAILED SUTRO LIMITED PARTNERSHIPS Mar 28, 1996 331 THREE BROKERS, ASKIN CAPITAL MANAGEMENT NAMED IN SUIT BY INVESTORS Mar 27, 1996 485 GEORGIA SECRETARY OF STATE LEWIS MASSEY ORDERS $300,000 PENALTY AGAINST BROKERAGE Mar 14, 1996 318 PIPER JAFFRAY AND PIPER CAPITAL REACH AGREEMENT WITH MINNESOTA DEPARTMENT OF COMMERCE AND NASD ON MUTUAL FUND INVESTIGATIONS. Mar 6, 1996 592 MEDICAL IMAGING CENTERS TO SUBPOENA RECORDS OF BROKER JACK HOWARD, MUTUAL SECURITIES AND COWLES SABOL & CO, Feb 25, 1996 482 JOHN G. KINNARD AND COMPANY, INCORPORATED SETTLES CLASS ACTION LAWSUIT REGARDING PALACE CASINOS, INC. Feb 23, 1996 291 INVESTORS IN LIMITED PARTNERSHIPS FILE $15 MILLION SUIT AGAINST PAINEWEBBER Feb 13, 1996 429 FLORIDA OFFICE OF THE COMPTROLLER SETTLES CHARGES WITH PAINEWEBBER FOR $436,000 Jan 18, 1996 534 PAINEWEBBER ANNOUNCES FINAL RESOLUTION OF LIMITED PARTNERSHIP ISSUES. Jan 18, 1996 683 MEDICAL IMAGING CENTERS OF AMERICA, INC. SUES STEEL PARTNERS FOR SECURITIES LAW VIOLATIONS, TORTIOUS INTERFERENCE WITH TRADE; SAYS UNLAWFUL GROUP MAY TRIGGER RIGHTS PLAN Jan 10, 1996 885 FEDERAL DISTRICT COURT CONFIRMS $257 MILLION ARBITRATION AWARD IN FAVOR OF PRUDENTIAL Dec 15, 1995 371 EXPRESS AMERICA HOLDINGS CORPORATION LITIGATION Dec 11, 1995 215 IDEON GROUP AND SAFECARD SERVICES SUBSIDIARY CHARGED WITH BREACH OF WRITTEN CONTRACT AND AGREEMENTS Oct 23, 1995 387 PIPER JAFFRAY COMPANIES RECEIVES N.A.S.D. ARBITRATION PANEL RULING Oct 18, 1995 276 XXSYS TECHNOLOGIES, DLJ MERCHANT BANKING INC., AND FIBERITE ANNOUNCE ACCORD Oct 10, 1995 329 Twelve California public entities sue Merrill Lynch for its role in Orange County investment pools financial collapse. Sep 18, 1995 224 SENIOR TOUR PLAYERS DEVELOPMENT DISCLOSES CLAIM Sep 18, 1995 204 PIPER JAFFRAY COMPANIES SETTLES SHAREHOLDER CLASS ACTION Sep 8, 1995 296 'LAW JOURNAL' ADDRESSES 'STOCK FRAUD AND SECURITIES' STATEWIDE ON CTN Aug 28, 1995 360 BONNEVILLE PACIFIC CORPORATION ANNOUNCES SETTLEMENT Aug 28, 1995 154 McDONALD & COMPANY RESPONDS TO CUYAHOGA COUNTY LAWSUIT Aug 15, 1995 216 MG and CFTC reach settlement of enforcement proceeding. Jul 27, 1995 314 CLELAND ANNOUNCES SETTLEMENT WITH SECURITIES FIRM Jul 21, 1995 264 INTERNATIONAL STANDARDS GROUP, LIMITED ANNOUNCES RULING BY U.S. DISTRICT COURT AND STATUS OF FINANCING Jul 12, 1995 502 ESCAMBIA COUNTY SUES BROKERAGE FIRMS May 19, 1995 523 MERRILL LYNCH SAYS BANKRUPTCY FILING FOR COUNTY "POOL" A "SHAM"; CALLS FOR DISMISSAL BY U.S. BANKRUPTCY COURT Mar 7, 1995 387 STRATTON OAKMONT COMMENTS ON JUDGE'S RULING Mar 1, 1995 244 SCATTERED CORPORATION DISPUTES CHICAGO STOCK EXCHANGE ALLEGATIONS REGARDING DERIVATIVE LAWSUIT Feb 3, 1995 269 SCATTERED CORPORATION DISPUTES CHICAGO STOCK EXCHANGE ALLEGATIONS REGARDING DERIVATIVE LAWSUIT Feb 3, 1995 1276 STRATTON OAKMONT MOVES FOR SUMMARY JUDGMENT AGAINST PRODIGY SERVICES COMPANY Feb 3, 1995 268 Regency Equities makes announcement. Jan 13, 1995 224 MERRILL LYNCH STATEMENT: ORANGE COUNTY COLLATERAL Jan 13, 1995 148 MERRILL LYNCH RESPONSE TO ORANGE COUNTY LAWSUIT Jan 12, 1995 236 ORANGE COUNTY SAYS MERRILL LYNCH ENGAGED IN PERVASIVE SCHEME TO EXTEND CREDIT AND SELL SPECULATIVE STRUCTURED DEBT SECURITIES IN VIOLATION OF CALIFORNIA STATUTORY AND CONSTITUTIONAL LAWS Jan 12, 1995 833 Orange County pool corrects and replaces previous announcement (BW0087). Jan 10, 1995 443 First lawsuit by an Orange County pool participant filed in federal court against Merrill Lynch, Citron and Stamenson over Orange County debacle. Jan 10, 1995 437 BT SECURITIES CORPORATION ANNOUNCES SETTLEMENT AGREEMENTS WITH THE SEC AND CFTC Dec 22, 1994 313 REFCO IN SETTLEMENT WITH CFTC. Dec 20, 1994 391 HarperBusiness signs story of the most destructive investment scandal of the 1980s. Dec 20, 1994 281 STEINHARDT MANAGEMENT SETTLES WITH SEC AND DEPT. OF JUSTICE Dec 16, 1994 321 CAXTON CORPORATION SETTLES INVESTIGATION Dec 16, 1994 265 STRATTON OAKMONT CALLS INDEPENDENT CONSULTANT REPORT IMPRACTICAL AND IRRESPONSIBLE Dec 15, 1994 441 Court dismisses claims against Keystone. Nov 28, 1994 225 GeneMedicine named in shareholder suit; Plans vigorous defense. Nov 25, 1994 217 STATE WARNS 12,000 PRUDENTIAL INVESTORS ON DEADLINE TO CLAIM PART OF $330 MILLION SETTLEMENT Nov 18, 1994 406 $36 million paid to California investors to-date from Prudential Securities settlement fund; 65 percent of eligible claimants have not yet filed claims with two months left in the program. Nov 1, 1994 401 ESSEX FINANCIAL PARTNERS, L.P. ANNOUNCES CLOSING OF CLASS ACTION SETTLEMENT INVOLVING $20.5 MILLION IN DEBT FORGIVENESS Oct 25, 1994 497 GIBSON GREETINGS FILES SUIT AGAINST BANKERS TRUST AND AFFILIATE Sep 12, 1994 178 JOHN H. GUTFREUND FILES PETITION IN NEW YORK STATE SUPREME COURT TO HAVE NEW YORK STOCK EXCHANGE ARBITRATION PANEL DECISION VACATED Aug 15, 1994 715 PRINCIPALS OF WORTHINGTON INVESTMENTS, INC. INDICTED Aug 12, 1994 638 MURPHEY FAVRE SETTLES BOND LAWSUIT May 18, 1994 264 STRATTON OAKMONT AND PRINCIPALS SETTLE CASE WITH SEC Feb 2, 1994 510 ESSEX FINANCIAL PARTNERS, L.P. ANNOUNCES TEXAS LITIGATION Jan 24, 1994 515 PRUDENTIAL SECURITIES CLASS-ACTION SETTLEMENT APPROVED Jan 21, 1994 146 MELLON, SMITH BARNEY REACH SETTLEMENT IN MUTUAL FUND ADMINISTRATION CASE Jan 5, 1994 476 MERRILL LYNCH SETTLES SEC PROCEEDING CONCERNING GUARANTEE SECURITY LIFE AND RELIANCE INSURANCE COS. Dec 22, 1993 387 MELLON WINS INJUNCTION AGAINST SMITH BARNEY IN MUTUAL FUND ADMINISTRATION CASE Dec 1, 1993 670 JUDGE SETS ASIDE VERDICT IN DISCRIMINATION SUIT AGAINST GOLDMAN, SACHS; RULES INSUFFICIENT EVIDENCE Nov 8, 1993 242 NASD EXPELS R.B. WEBSTER INVESTMENTS, INC., AND BARS ITS PRESIDENT Oct 27, 1993 635 FIRST-EVER 'GLOBAL' SETTLEMENT RESOLVES FEDERAL, STATE CLAIMS AGAINST PRUDENTIAL Oct 21, 1993 1076 KAZARIAN FILES $3.2 BILLION LAWSUIT AGAINST SUNBEAM-OSTER PARTNERS Jun 3, 1993 633 ALCO INTERNATIONAL Mar 23, 1993 350 FEDERAL RESERVE BANK OF NEW YORK STATEMENT ON SEC - DAIWA SETTLEMENT Feb 25, 1993 160 NIKKO SECURITIES COMPANY INTERNATIONAL TO CONTEST SEC ACTION Feb 25, 1993 426 LICENSING SAYS WASHINGTON STATE SETTLES WITH SALOMON BROTHERS; $50,000 TO ENDOW SPECIAL SECURITIES ENFORCEMENT FUND Jan 6, 1993 319 SHEARSON HIT WITH ARBITRATION CLAIM ALLEGING DISCRIMINATION IN THE FIRING OF HIV-POSITIVE EMPLOYEE Nov 12, 1992 325 TAMPA ATTORNEY FILES CLASS ACTION LAWSUIT AGAINST CIGNA SECURITIES ON BEHALF OF INVESTOR Oct 28, 1992 446 PRUDENTIAL SECURITIES 'STONEWALLS' ON $2.9 MILLION CLAIM Jul 28, 1992 438 PRUDENTIAL SECURITIES 'STONEWALLS' ON $2.9 MILLION CLAIM Jul 28, 1992 437 REGULATORY ANARCHY IN SECURITIES LITIGATION REQUEST TO HAVE DEAN WITTER EXPELLED FROM THE NASD Jun 1, 1992 520 EMERSON RADIO CHARGES FIDENAS INVESTMENT WITH SECURITIES VIOLATIONS May 28, 1992 292 DEAN WITTER: NOT REQUIRED TO PLAY BY THE RULES? IS LITIGATION TERRORISM CONDONED? May 20, 1992 491 KEMPER SECURITIES GROUP TO OPPOSE VERDICT IN CONTICOMMODITY CASE Apr 2, 1992 275 STRATTON OAKMONT RESPONDS TO SEC CIVIL SUIT Mar 20, 1992 167 HAMBRECHT & QUIST TO APPEAL VERDICT IN TEXAS MINISCRIBE CASE Feb 4, 1992 347 QUOTRON EXPANDS ADP COPYRIGHT INFRINGEMENT SUIT TO INCLUDE SMITH BARNEY AS CO-DEFENDANT Dec 6, 1991 306 $20 BILLION CHICAGO CUSTOMER SUES SALOMON BROTHERS Nov 20, 1991 361 NASD IMPOSES FINES IN EXCESS OF $240,000, BARS THREE INDIVIDUALS AND SUSPENDS FIVE IN CONNECTION WITH MANIPULATIVE TRADING Nov 5, 1991 702 Not "Fail" safe. Skertic, Mark Jul 1, 1991 717 Bond daddy circus: State Securities Department stands trial at U.S. Associates' disciplinary hearing. Kern, David F. Aug 13, 1990 1887