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August 07, 2012 |

Knight Capital says it has $400 million financing deal

Knight Capital says unnamed investors agreed to buy $400 million of preferred stock that will be converted into about 267 million of its shares, which would help the trading firm stay in business after a software glitch.
3 minute read
July 27, 2009 |

VERDICTS & SETTLEMENTS

6 minute read
November 02, 2007 |

Brokerage Houses Face 'Sweep' Suits

Some major brokerage houses are facing proposed class actions for sweeping uninvested brokerage account money into low-interest accounts at affiliated banks and using the funds to allegedly earn money for the companies while paying lower interest to the sweep-account holders. The "sweep suits" have been filed in federal court in New York and Colorado. Sweeping has become a huge source of revenue for brokerage firms, but a plaintiffs lawyer on the New York cases says the practice is "not defendible."
3 minute read
October 29, 2007 |

Brokerage houses face 'sweep' suits

A number of major brokerage houses are facing proposed class actions. They're accused of sweeping uninvested brokerage account money into low-interest accounts at affiliated banks and using the funds to earn money for the companies. The so-called "sweep suits" have been filed in federal court in New York and Colorado.
3 minute read
May 02, 2008 |

Auction-rate securities suits rising

5 minute read
April 12, 2011 |

Portfolios-to-go may be next thundering herd

Andy Cohen, 47, uses exchange-traded fund portfolios recommended by MarketRiders Inc. to manage his retirement plan and children's college savings. He's charged about $10 a month."I don't have enough money that I have a dedicated wealth manager," said Cohen, who lives in San Mateo, Calif., and is chief executive officer of Caring.
8 minute read
October 02, 2009 |

Guilty plea from lawyer who lost client funds playing the stock market

A Southern California lawyer who lost nearly all of a $2.5 million class action recovery by investing client trust funds in the stock market has pleaded guilty to criminal charges. obstruction of justice.
3 minute read
December 02, 2011 |

In-House Liability Issues for Data Breaches

The threat of massive data breaches affecting millions of consumers has become an inescapable aspect of modern business and life. Just look at a few examples from earlier this year.
4 minute read
December 07, 2010 |

Toronto-Dominion said to plan Chrysler financial bid

Toronto-Dominion Bank may reach an agreement as soon as this week to acquire Chrysler Financial Corp., the auto-loan company owned by Cerberus Capital Management LP, said three people with knowledge of the matter.
4 minute read
May 22, 2012 |

Nasdaq CEO blames software for delayed Facebook IPO trading

Computer systems used to establish Facebook's opening price were overwhelmed by order cancellations and updates because systems fell into a "loop" that prevented Nasdaq from opening shares on schedule following the $16 billion deal.
7 minute read

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