SEC and DOJ Civil Investigations, Lawsuits and Settlements of Financial Crisis Cases

August 2017

• CFPB:
  • [TOP TEN]“Republicans want to sideline this regulator, but it may be too popular” (NYT, 8/31/17)
  • “Republicans for Richard Cordray” (WSJ, 8/11/17)

July 2017

• CFPB:
  • “Trump appointee wants to delay rule that lets consumers bring class-action suits against banks” (LAT, 7/18/17)
  • [TOP TEN]“Banks and credit card companies can’t try to stop you from joining a class action lawsuit — for now” (LAT, 7/11/17)
  • [TOP TEN]“U.S. agency moves to allow class-action lawsuits against financial firms” (NYT, 7/10/17)
  • [TOP TEN]“Consumer agency’s arbitration move sets off GOP showdown” (WSJ, 7/10/17)

• CFTC:
  • “U.S. regulator moves to rewrite rules for swaps transaction reporting” (WSJ, 7/10/17)
• SEC Claim of “Stock Scam”: “Scheme created fake news stories to manipulate stock prices, SEC alleges” (LAT, 7/5/17)

June 2017

• CFPB:
  •  “Consumer bureau director defends handling of Wells Fargo scandal in face of GOP criticism” (LAT, 6/19/17)
• CFPB Settlement with Credit Repair Services: “$2-million settlement ends accusations that L.A. credit-repair firms misled consumers” (LAT, 6/27/17)

May 2017

• Fiat Chrysler Diesel Emissions Violations:
  • [TOP TEN]“US files suit against Fiat Chrysler alleging emissions violations” (FT, 5/23/17)
  • [TOP TEN]“U.S. sues Fiat Chrysler over diesel emissions” (WSJ, 5/23/17)

March 2017

• CFPB:
  • “Mr. Trump goes after Consumer Financial Protection Bureau” (NYT, 3/22/17)
• DOJ Settlements with Large Banks for 2008 MBS Lawsuits: 
  • [TOP TEN]“UBS considers refusing DoJ settlement offer” (FT, 3/7/17)
• JPMorgan “London Whale” Investigation: [TOP TEN]“Fed may take legal action against ‘London whale‘” (WSJ, 3/6/17)

February 2017

• AIG’s Greenberg $9M Settlement with the Government:
  • [TOP TEN]“Hank Greenberg’s vindication” (WSJ, 2/13/17)
  • [TOP TEN]“Former chief of A.I.G. tries to fight the headlines” (NYT, 2/13/17)
  • [TOP TEN]“Former AIG chief Hank Greenberg settles civil fraud case” (WSJ, 2/10/17)
  • [TOP TEN]“Former A.I.G. executives reach settlement in accounting fraud case” (NYT, 2/10/17)
• Whistleblower-based Healthcare Overbilling Lawsuit: “Scheme tied to UnitedHealth overbilled Medicare for years, suit says” (NYT, 2/16/17)

January 2017

• CFPB Lawsuit Against Student Loan Servicer (Navient):
  • “At student loan giant Navient, troubled past was prologue” (NYT, 1/21/17)
  • “CFPB sues Navient over student loan-servicing practices” (WSJ, 1/18/17)
  • “Feds sue nation’s largest student loan servicer, accusing it of cheating borrowers” (LAT, 1/18/17)
• CFPB Approach to Regulation: “Consumer Financial Protection Bureau director says Trump won’t change agency’s aggressive efforts” (LAT, 1/24/17)
• CFTC:
  • “Massad resigns as Commodity Futures Trading Commission chairman” (NYT, 1/3/17)
• CFTC $5M Settlement with MF Global CEO (Corzine): “Jon Corzine to pay $5 million for role in collapse of MF Global” (WSJ, 1/6/17)
• DOJ Settlements with Large Banks for 2008 MBS Lawsuits: 
  • [TOP TEN]“Deutsche Bank and Justice Dept. complete deal on mortgage crisis” (NYT, 1/17/17)
• SEC Investigation of Yahoo: “SEC opens formal probe of Yahoo hacking disclosure” (FT, 1/23/17)
• Supreme Court: [TOP TEN]“Big banks lose bid to halt crisis-era lawsuits” (NYT, 1/10/17)

December 2016

• Justice Department Civil FIRREA Lawsuits Against Banks: [TOP TEN]“Big banks fight to block crisis-era lawsuits from continuing” (NYT, 12/13/16)
• DOJ Settlements with Large Banks for 2008 MBS Lawsuits:
  • “Barack’s last bank bash” (WSJ, 12/26/16)
  • [TOP TEN]“Flurry of settlements over toxic mortgages may save banks billions” (NYT, 12/23/16)
  • [TOP TEN]“For Trump, U.S. settlement of bank fraud claims removes one potential conflict of interest” (LAT, 12/23/16)
  • [TOP TEN]“Deutsche Bank and Credit Suisse pay billions to settle US probe” (FT, 12/23/16)
  • [TOP TEN]“Deutsche Bank and Credit Suisse settlement calms investors” (FT, 12/23/16)
  • [TOP TEN]“Art of the deal: Barclays takes mortgage fight to court” (WSJ, 12/23/16)
  • [TOP TEN]“Push to resolve toxic securities cases yields two big settlements, one lawsuit” (WSJ, 12/23/16)
  • [TOP TEN]“Deutsche Bank, Credit Suisse reach multibillion settlements over toxic securities” (WSJ, 12/23/16)
  • [TOP TEN]“Deutsche Bank to settle mortgage inquiry for $7.2 billion” (NYT, 12/22/16)
• DOJ Toxic MBS Lawsuit Against Barclays: [TOP TEN]“Justice Department sues Barclays over mortgage-backed securities” (NYT, 12/22/16)
• Mortgage Fraud and False Claims Act: “The Quicken Loans signal” (WSJ, 12/19/16)
• SEC Investigation of Mozambique debt: “SEC probes banks’ sale of soured Mozambique bonds” (WSJ, 12/28/16)

October 2016

• CFTC $5M Settlement with MF Global CEO (Corzine):
  • [TOP TEN]“5 years later, Jon Corzine may avoid trial with $5 million settlement” (NYT, 10/6/16)
  • “Former New Jersey governor Jon Corzine near $5 million CFTC settlement” (WSJ, 10/6/16)
• Libya v. Goldman Trial:
  • “Fight between Goldman Sachs and Libyan fund shadows lawyer” (NYT, 10/20/16)
  • “Goldman Sachs wins legal battle with Libyan sovereign-wealth fund” (WSJ, 10/14/16)
  • “Goldman Sachs didn’t trick Libyan fund, judge says” (NYT, 10/14/16)
• DOJ Civil Suit against Moody’s:
  • “Moody’s faces US civil complaint over ratings” (FT, 10/21/16)
  • “Moody’s expects U.S. to sue over its pre-crisis bond ratings” (WSJ, 10/21/16)

September 2016

• DOJ Settlements with Large Banks for 2008 MBS Lawsuits: “How Deutsche Bank will be hurt by mortgage fines” (WSJ, 9/16/16)
• $14 Billion Proposed Fine for Deutsche Bank MBS Fraud: [TOP TEN]“Deutsche Bank is asked to pay $14 billion to resolve U.S. probe into mortgage securities” (WSJ, 9/16/16)

August 2016

• $100 Million Libor Manipulation Settlement (Barclays): “Barclays to pay $100 million to resolve states’ Libor manipulation claims” (WSJ, 8/8/16)
• SEC Settlement of Fannie Mae 2008 Financial Crisis Litigation: “To settle SEC case, government pays itself $100,000” (WSJ, 8/23/16)
• VW Global Civil Lawsuits: [TOP TEN]“VW facing uphill battle outside the U.S. in emissions claims” (WSJ, 8/23/16)

July 2016

• BP Oil Spill Litigation and Fines: “BP puts tab for Gulf disaster at $62 billion” (WSJ, 7/14/16)
• CFTC Suit Against “Spoofer”: “Accused ‘spoofer’ can keep trading, with limits, judge rules” (WSJ, 7/12/16)
• $14.7 Billion Volkswagen Settlement with DOJ: “VW rejects cash offer for European car owners” (WSJ, 7/4/16)
• Goldman $1.2 Billion Derivatives Trial: “Goldman executive says Libyan internship was to help win future business” (WSJ, 7/5/16)
• Goldman Sachs Theft of Central Bank Secrets Investigation:
  • [TOP TEN]“Fed prepares action against Goldman Sachs in leak case” (NYT, 7/25/16)
  • [TOP TEN]“Fed readies enforcement action against Goldman Sachs in theft of secrets” (WSJ, 7/25/16)
• SEC Investigation of Fiat Chrysler: “U.S. investigates Fiat Chrysler over sales figures” (NYT, 7/18/16)
• SEC Lawsuit Against RD Legal Capital: “Hedge fund that bet on terror lawsuit is accused of fraud by SEC” (WSJ, 7/14/16)

June 2016

• Civil Investigation of Countrywide’s CEO (Mozilo): [TOP TEN]“Countrywide mortgage devastation lingers as ex-chief moves on” (NYT, 6/24/16)
• $14.7 Billion Volkswagen Settlement with DOJ:
  • [TOP TEN]“Volkswagen to pay up to $14.7 billion to settle diesel-emissions claims” (WSJ, 6/28/16)
  • “Compensating Volkswagen’s victims” (NYT, 6/28/16)
  • “Volkswagen settlement: what you need to know” (LAT, 6/28/16)
  • “VW settles emissions-cheating cases for $14.7 billion and agrees to buy back cars” (LAT, 6/28/16)
  • [TOP TEN]“Volkswagen to pay $14.7 billion to settle diesel claims in U.S.” (NYT, 6/27/16)
• SEC $450M Settlement with BofA: “Bank of America nearing SEC settlement in client-accounts probe” (WSJ, 6/22/16)
• SEC $12.7m Settlement of Mortgage Fraud Case (First Mortgage): “A weird fraud case: lender was accused of making good mortgages look bad” (LAT, 6/3/16)

May 2016

• Norway Oil Fund Lawsuit Against VW:
  • [TOP TEN]“Norway’s $850bn oil fund to sue Volkswagen” (FT, 5/15/16)
  • “Norwegian oil fund attacks VW corporate governance” (FT, 5/15/16)
• Reversal of $1.27B Verdict in BofA “Hustle” Case:
  • [TOP TEN]“Bank of America penalty thrown out in crisis-era ‘Hustle’ case” (WSJ, 5/23/16)
  • [TOP TEN]“Penalty against Bank of America overturned in mortgage case” (NYT, 5/23/16)

April 2016

• BP Oil Spill Litigation and Fines: [TOP TEN]“BP results still hurt by Gulf of Mexico spill” (WSJ, 4/26/16)
• Goldman $5 Billion MBS Fraud Settlement:
  • [TOP TEN]“In settlement’s fine print, Goldman may save $1 billion” (NYT, 4/11/16)
  • [TOP TEN]“Goldman pays $5.1bn to settle MBA mis-selling” (FT, 4/11/16)

March 2016

• FTC Lawsuit against Volkswagen:
  • “F.T.C. sues Volkswagen over ‘deceptive’ diesel car ads” (NYT, 3/29/16)
  • “FTC sues Volkswagen over advertising of diesel vehicles” (WSJ, 3/29/16)
• $110 Billion Fines Paid by U.S. Banks for Mortgage Crisis: [TOP TEN]“Big banks paid $110 billion in mortgage-related fines. Where did the money go?” (WSJ, 3/9/16)
• SEC Investigation of SunEdison Liquidity: “SEC investigating SunEdison’s disclosures to investors about its liquidity” (WSJ, 3/28/16)

February 2016

• Morgan Stanley $3.2B MBS Settlement:
  • [TOP TEN]“Morgan Stanley to pay $3.2 billion over flawed mortgage bonds” (NYT, 2/11/16)
  • [TOP TEN]“Morgan Stanley to pay $3.2 billion to end government mortgage probes” (WSJ, 2/11/16)
• DOJ and Foreign Corrupt Practices Act: [TOP TEN]“US redoubles efforts on foreign bribery cases” (FT, 2/10/16)
• Settlements of Bank Litigation: [TOP TEN]“Fining bankers, not shareholders, for banks’ misconduct” (NYT, 2/6/16)
• Wells Fargo $1.2 Billion MBS Settlement: [TOP TEN]“Wells Fargo to pay $1.2 billion over faulty mortgages” (WSJ, 2/3/16)
• ‘Dark Pool’ Settlement of $154.3 Million (Credit Suisse, Barclays):
  • “Regulators aren’t done with investigations into ‘dark pool’ trading” (NYT, 2/2/16)
  • “‘Dark pool’ probes settled” (WSJ, 2/1/16)

January 2016

• Goldman $5 Billion MBS Fraud Settlement:
  • [TOP TEN]“Big US bank revenue growth is flat as a pancake” (FT, 1/21/16)
  • [TOP TEN]“Goldman settlement could reach $5 Billion“ (NYT, 1/15/16)
  • [TOP TEN]“Goldman enters largest penalty in firm history” (WSJ, 1/15/16)
  • “Goldman Sachs to settle probes of its mortgage role” (LAT, 1/15/16)
• U.S. $45 Billion Lawsuit Against VW re Emissions Data Rigging:
  • [TOP TEN]“US lawsuit brings Volkswagen back down to earth with a bump” (FT, 1/6/16)
  • [TOP TEN]“US sues Volkswagen over emissions scandal” (WSJ, 1/5/16)
  • “Volkswagen’s turmoil deepens after US authorities file emissions lawsuit” (FT, 1/5/16)

December 2015

• CFTC Lawsuit Against Corzine (MF Global CEO): “Corzine, CFTC duel over MF Global collapse” (WSJ, 12/26/15)
• SEC $307 Million Settlement with JP Morgan re Conflicts of Interest:
  • “JP Morgan to pay $307 million over client ‘steering’” (WSJ, 12/21/15)
  • “JP Morgan Chase to pay $307 million for steering clients to its own products” (NYT, 12/19/15)

October 2015

• BP Oil Settlement:
  • [TOP TEN]“Settlement in BP spill is raised to final sum” (NYT, 10/6/15)
  • [TOP TEN]“BP reaches $21bn deal on Gulf spill“ (FT, 10/6/15)
• Criminal Sanction Violation: “Bank to pay fine over sanctions” (WSJ, 10/21/15)
• DOJ Investigation of Goldman Sachs Malaysia Money-Laundering Scandal:
  • “Leader faces fire over fund” (WSJ, 10/16/15)
  • “US examines Goldman Sachs role in 1MDB transactions” (WSJ, 10/14/15)
• SEC FCPA Investigation (Mondelez International): “SEC is readying Mondelez charges” (WSJ, 10/14/15)
• SEC Settlement with Banks: “‘Dark Pool’ pacts in works” (WSJ, 10/23/15)
• Senate Investigation of Large Banks’ Financial Crisis Settlements: [TOP TEN]“Senate democratic inquiry targets banks, Wall Street settlements” (WSJ, 10/8/15)

September 2015

• DOJ Investigation of Goldman Sachs Malaysia Money Laundering Scandal:“Malaysia fund scandal spreads” (WSJ, 9/9/15)

July 2015

• Large Bank Penalties and Bank Culture: [TOP TEN]“Penalties improved bank culture, says Holder” (FT, 7/6/15)
• US Government $18.7 billion Settlement with BP re Oil Spill:
  • “BP faces rocky landscape after Deepwater Horizon settlement” (WSJ, 7/22/15)
  • “BP to pay out $18.7 billion to settle spill” (WSJ, 7/3/15)
  • “$18.7 billion deal reached with BP in gulf oil spill” (NYT, 7/3/15)
  • “Relief at diminished BP after spill settlement” (NYT, 7/3/15)
  • [TOP TEN]“BP settles Deppwater Horizon spill fir $18.7 billinon” (FT, 7/3/15)

June 2015

• DOJ Civil Lawsuit Against Quicken Loans for Mortgage Fraud: “Quicken Loans takes on the US” (WSJ, 6/15/15)
• FDIC Lawsuit Against JP Morgan re Washington Mutual Liability: [TOP TEN]“JP Morgan wins legal battle in WaMu case” (WSJ, 6/4/15)
• Forex Manipulation Settlements: “Tab climbs for lenders in civil currency suit” (WSJ, 6/18/15)

May 2015

• CME Suspends Traders for “Layering”:
  • “CME spends two gold futures traders” (FT, 5/2/15)
  • Exchanges need to balance policing and profitability” (FT, 5/2/15)
• FHFA Trial Against Nomura and RBS re MBS Fraud in 2008 Financial Crisis: [TOP TEN]“Judge’s ruling against 2 banks finds misconduct in ’08 crash” (NYT, 5/12/15)
• SEC $350m Settlement with Deutsche Bank re Asset Misstatements: “Deutsche Bank to pay $55m over asset ‘misstatements’ during crisis” (FT, 5/27/15)
• SEC Investigation of Avon “Hoax” Bid:
  • “FBI delves into Avon offer” (WSJ, 5/16/15)
  • “Bid for Avon reveals hole at the SEC” (NYT, 5/15/15)
  • “SEC reviews fishy Avon bid” (WSJ, 5/15/15)

April 2015

• BofA Appeal of Fine in “Hustle” Trial: “BofA files appeal of ‘hustle’ ruling” (WSJ, 4/23/15)
• DOJ Approach to Criminal Prosecution of Currency Manipulation: [TOP TEN]“Banks could face tougher penalties in currency probe, justice official suggests” (WSJ, 4/18/15)
• DOJ Lawsuit re Bad Loans Against Quicken: “US lawsuit cites Quicken in bad loans” (NYT, 4/24/15)
• Quicken Lawsuit Against the DOJ re Mortgage Investigation: “Quicken strikes back, suing DOJ and HUD over investigations” (WSJ, 4/20/15)
• SEC $12 million Settlement with BlackRock: “BlackRock settles SEC case” (WSJ, 4/21/15)
• SEC Investigation of BofA/Merrill: “SEC probes BofA over Merrill tactic” (WSJ, 4/29/15)
• SEC Settlement with Freddie Mac Executives in Fraud Crisis Case:
  • “Ex-Freddie Mac lenders reach deal with SEC” (NYT, 4/15/15)
  • “Former Freddie executives settle with SEC” (WSJ, 4/15/15)
• UK Regulator Fines on Banks in Aftermath of 2008 Financial Crisis: [TOP TEN] “Fines fail to spur banks into action on client cash” (FT, 4/16/15)

March 2015

• $1.1 billion Civil Trial Against Nomura, RBS re Mortgage-Backed Securities:
  • “Fannie and Freddie’s missing testimony” (WSJ, 3/26/15)
  • [TOP TEN]“FHFA squares off with firms at trial” (WSJ, 3/17/15)
• $714 million Settlement of Bank of New York Currency Probe: “BNY pact resolves probe into currencies” (WSJ, 3/20/15)
• Billion Dollar Settlements and “Perverse Incentives”: [TOP TEN]“Ways to put boss’s skin in the game” (NYT, 3/22/15)
• DOJ $1.45 billion Settlement with German Bank (Commerzbank):
  • “Commerzbank in $1.45 bn settlement” (FT, 3/13/15)
  • “German bank to pay $1.5 billion in US case” (NYT, 3/13/15)
  • “Commerzbank settles probe” (WSJ, 3/13/15)
• SEC Investigation of Patriarch Partners:
  • “SEC accuses Patriarch Partners, Tilton of fraud” (WSJ, 3/31/15)
  • “U.S. accuses equity firm of fraud” (NYT, 3/31/15)

February 2015

• DOJ $2.6 billion Settlement of MBS Case with Morgan Stanley:
  • [TOP TEN]“Morgan Stanley in $2.6 billion settlement over crisis in mortgages” (NYT, 2/26/15)
  • [TOP TEN]“Morgan Stanley to pay $2.6 billion to settle mortgage cases” (WSJ, 2/26/15)
• DOJ Civil Lawsuit Against S&P:
  • [TOP TEN]“After rancorous talks, S&P nears a record settlement” (WSJ, 2/3/15)
  • [TOP TEN]“Uneasy pact for agencies and for S&P” (NYT, 2/3/15)
  • [TOP TEN]“S&P to pay $1.4 billion in claims it misled investors with rosy ratings” (LAT, 2/3/15)
  • [TOP TEN]“Settling case, S&P is seen as backing down” (NYT, 2/2/15)
• DOJ Investigation of Libor Manipulation: “US DOJ issues arrest warrant for Briton in Libor probe” (FT, 2/6/15)
• DOJ Investigation of Moody’s on pre-2007 Credit Ratings: [TOP TEN]“Justice Department investigating Moody’s investors service” (WSJ, 2/2/15)
• DOJ Investigation of UBS Tax Evasion:  “UBS faces a new tax-evasion probe” (WSJ, 2/5/15)
• DOJ “Revolving Door”: [TOP TEN]“Preet Bharara’s Wall St. task force has a shifting roster of lawyers” (NYT, 2/17/15)

January 2015

• $77M settlement of SEC Fraud Case Against S&P: [TOP TEN] “S.&.P. to pay nearly $80 million to settle fraud cases” (NYT, 1/22/15)
• BP Oil Spill and $13.7 billion Maximum Penalty:
  • “For BP gulf fine, judge weighs installment plan” (WSJ, 1/21/15)
  • “Judges ruling on Gulf oil spill lowers ceiling on the fine BP is facing” (NYT, 1/16/15)
  • “Judge sets $13.7 billion maximum penalty for BP under clean water act” (WSJ, 1/16/15)
• DOJ Civil Lawsuit Against S&P:
  • “S&P may settle claims on ratings” (LA Times, 1/29/15)
  • “Standard & Poor’s is near rich settlements with US” (NYT, 1/21/15)
  • [TOP TEN]“S&P nears settlement with Justice Dept. over inflated ratings” (NYT, 1/13/15)
• DOJ/SEC “Peace Divided” Settlements with Big Banks: “Investors might yet long for the days of Dimon’s swagger” (FT, 1/15/15)
• DOJ Seekes $13.7 billion fine in BP Oil Cases: “Oil prices play into trial over BP’s fines” (WSJ, 1/20/15)
• New Attorney General Nominee (Lynch):
  • “Lynch says she’s no Eric Holder“(LA Times, 1/29/15)
  • “Criticism of Holder dominates hearing on Loretta Lynch, Attorney General’s possible successor” (NYT, 1/29/15)

December 2014

• CFTC $1.2 Billion Settlement with MF Global: [TOP TEN]“Corzine’s collapsed firm must pay $1.2 billion settlement” (New York Post, 12/25/14)
• CFTC $100 million Fine of MF Global: “CFTC fines MF Global’s parent company $100 million” (WSJ, 12/26/14)
• DOJ $1 Billion Money Laundering Settlement Violation Fine (Commerzbank): “Bank faces $1 billion penalty” (WSJ, 12/12/14)
• DOJ Record-Breaking Fines to Large Banks in 2014: [TOP TEN]“Banks paid big as regulators got tougher” (WSJ, 12/31/14)
• New York Fed Investigation of ETF Pricing: “US watchdog investigates ETF pricing structures” (FT, 12/22/14)
• Overseas Tax Evasion Civil Suit (Deutsche Bank): “Deutsche owes tax, US suit says” (WSJ, 12/9/14)
• Whistleblowers:
  • [TOP TEN]“Whistle-blower awards get results, but also may lure wrongdoers” (NYT, 12/31/14)
  • [TOP TEN]“Whistleblowers score big” (WSJ, 12/20/14)
  • [TOP TEN]“A second Bank of America whistle-blower is set to get $56 million” (NYT, 12/19/14)
  • [TOP TEN]“BofA case results in award of $58 million” (WSJ, 12/18/14)
  • [TOP TEN]“Whistle-blower on mortgages misleads to get $57 million” (NYT, 12/18/14)

November 2014

• DOJ Criminal and Civil Penalties: [TOP TEN]“Justice Department collected record $24 billion in fiscal 2014” (WSJ, 11/20/14)
• DOJ Possible Civil Lawsuit Against Countrywide and Mozilo:[TOP TEN]“Justice Department is weighing civil suit against Mozilo” (NYT, 11/18/14)

October 2014

• OJ Investigations of Banks: [TOP TEN] “Prosecutors suspect repeat offenses on Wall Street” (NYT, 10/29/14)
• Sacramento Mortgage Fraud Trial: [TOP TEN]“The jury in a mortgage case finally strikes back at fraudulent bankers” (LAT, 10/1/14)
• SEC Settlement with High-Speed Firm: “High-speed firm settles with SEC” (WSJ, 10/17,14)
• SEC Investigation of PIMCO ETF pricing:“Media is ‘making a meal’ of SEC’s investigation into Pimco ETF” (FT, 10/5/14)

September 2014

• DOJ New Emphasis on Banks Cooperation in Criminal Cases: [TOP TEN] “Justice Department urges banks to implicate employees” (NYT, 9/17/14)
• DOJ Possible Civil Lawsuit Against Countrywide and Mozilo:“A lender’s unfinished business” (NYT, 9/24/14)
• FDIC Lawsuit Against Failed North Carolina Bank and its Officers (Cooperative Bank): “Failed bank’s broken vows mean little” (NYT, 9/19/14)
• SEC Investigation of Banco Espirito Santos’ US Unit:“Espirito’s US unit is eyed in probe” (WSJ, 9/17/14)
• SEC Investigation of Goldman’s Ties to Libya Sovereign Wealth Funds: “Regulators probe Goldman’s internship for brother of Libyan ex-official” (WSJ, 9/19/14)
• SEC Investigation of ITT Educational Services: “ITT under scrutiny from two US federal agencies” (WSJ, 9/20/14)
• SEC Investigation of PIMCO ETF pricing:
  • “Pimco’s once nimble Gross slips from favour” (FT, 9/26/14)
  • “SEC’s Probe Adds to Pimco’s Troubles” (LAT, 9/25/14)
  • “SEC is examining pricing at PIMCO” (WSJ, 9/24/14)

August 2014

• CFPB Investigation of Auto Loans: “A car lender is accused of distortion” (NYT, 8/21/14)
• DOJ $5 Billion Lawsuit Against S&P:
  • “S&P’s new payback evidence” (WSJ, 8/17/14)
  • “S&P accuses US of withholding documents in fraud suit” (Bloomberg, 8/13/14)
  • “Discovery precedent gains a following” (LA Daily Journal, 8/1/14)
• DOJ’s “$36 billion Man”:[TOP TEN] “Tony West emerges as US’s key weapon against banks” (FT 8/23/14)
  
• DOJ Approach to Financial Crisis Settlements: 
  • [TOP TEN]“Regulatory revenge risks scaring investors away” (FT, 8/29/14)
  • [TOP TEN] “Banks’ loan crisis bill set to rise by billions” (FT, 8/8/14)
  • “Critics home in on US mortgage relief” (FT, 8/8/14)
• DOJ Civil Investigation of Auto Subprime Lending:
  • “GM’s subprime auto lending under scrutiny” (WSJ, 8/5/14)
  • “US starts civil inquiry of subprime car lending” (NYT, 8/5/14)
• DOJ Possible Civil Lawsuit Against Countrywide and Mozilo:
  • [TOP TEN]“US banks try to find a pattern in settlement talks” (FT, 8/25/14)
  • [TOP TEN]“Bank of America papers show conflict and trickery in mortgages” (NYT, 8/22/14)
  • [TOP TEN]“Countrywide’s Mozilo said to face US suit over loans” (Bloomberg, 8/20/14)
• FHFA $3.15 billion Settlement of MBS Suit Against Goldman:
  • [TOP TEN]“Goldman to pay $3.15 billion to settle mortgage claims” (NYT, 8/23/14)
  • “Goldman Sachs closes in on $1.1 billion securities settlement” (FT, 8/23/14)
• SEC’s $285 million Settlement with Citigroup:
  • [TOP TEN]“Judge with a grudge signs deal” (WSJ, 8/6/14)
  • [TOP TEN] “Judge says SEC deal with Citi can close” (NYT, 8/6/14)
• SEC Microcap Investigation:“Wide net is cast in probe of microcap” (WSJ, 8/15/14)
  
• SEC Trial Verdict Over Wyly Brothers: “SEC is seeking up to $750 million in sanctions from Wyly Brothers” (WSJ, 8/5/14)

July 2014

• CFPB Fraud Lawsuits Against Mortgage Relief Firms (“Operation Mis-modification): “Lawsuits target mortgage relief firms” (LAT, 7/24/14)
• DOJ $5 Billion Lawsuit Against S&P:
  • “Discovery spat boils up in S&P case” (LA Daily Journal, 7/29/14)
  • [TOP TEN]“S&P weighs restarting talks on suit” (WSJ, 7/16/14)
• DOJ $10 Million Settlement with HSBC re Foreclosure Fees: “HSBC settles fraud charges over foreclosure fees paid by the US government” (NYT, 7/2/14)
• FHA $614 Million Settlement of Lawsuit with JP Morgan re FHA Loans:  “JP Morgan retreats on FHA loans” (WSJ, 7/24/14)
• SEC Possible Lawsuit Against Standard & Poor’s for Securities Fraud Commercial MBS Deals: “S&P faces penalties for role in 2011 deals” (WSJ, 7/24/14)
• SEC Trial of BofA/Countrywide Mortgages (The “Hustle” Trial):
  • “BofA ordered to pay $1.3 billion over Countrywide lending program” (LAT, 7/31/14)
  • [TOP TEN]“BofA, executive hit with ‘hustle’ fines” (WSJ, 7/31/14)

June 2014

• DOJ Civil $850 million MBS Lawsuit against BofA:  “Bank of America has setback with ruling” (WSJ, 6/20/14)
• SEC’s $285 million Settlement with Citigroup:
  • [TOP TEN]“Rakoff vs the racket” (WSJ, 6/6/14)
  • [TOP TEN]“Appeals court says judge erred in blocking SEC-Citigroup settlement” (WSJ, 6/5/14)
  • [TOP TEN]“Overruled, Judge still left a mark on SEC agenda” (NYT, 6/5/14)
  • [TOP TEN]“Appeals court ruling in SEC case will curb judicial power over settlements” (NYT, 6/4/14)
• SEC Investigation of ‘Dark Pools’:  “‘Dark Pools’ face new SEC probe” (WSJ, 6/10/14)
• SEC Investigation of Wedbush Securities Trading Practices: “SEC accuses Los Angeles firm Wedbush Securities of violating market-access rules” (LAT, 6/7/14)
• SEC Lawsuit Against Municipal Bonds:  “SEC stops Citi in Illinois from selling municipal bonds” (NYT, 6/26/14)

May 2014

• DOJ Civil Lawsuit Against S&P:“Geithner’s missing memoir” (WSJ, 5/19/14)
• DOJ Criminal and Civil Investigation of Bank and Payment Processors:  “Payment activity probed by US” (WSJ, 5/30/14)
• MF Global Lawsuits and D&O Insurance:  “Corzine, others can tap funds” (WSJ, 5/20/14)
• NYSE $4.5 million Settlement with SEC:  “NYSE settles charges its safeguards fell short” (WSJ, 5/2/14)
• SEC Civil GE Capital Insider Trading Trial: “Insider-Trading case involving GE Capital tip heads for trial” (WSJ, 5/19/14)
• SEC Investigation of 5 Banks’ Hiring Practices re Relatives of Asian Officials: “Regulators step up probe into bank hiring” (WSJ, 5/7/14)
• SEC Investigation of Private Equity Fees: “SEC finds violations in private-equity fees” (WSJ, 5/7/14)
• SEC Trial of Ex-Goldman Trader (Tourre):
  • “Former Goldman trader Tourre says he will not appeal” (NYT, 5/28/14)
  • [TOP TEN]“Tourre won’t appeal verdict” (WSJ, 5/28/14)
• SEC Trial Against Wyly Brothers re Offshore Tax Havens:
  • [TOP TEN] “SEC wins tax-fraud case against Wyly brothers” (WSJ, 5/13/14)
  • “Brothers are found guilty of hiding trades through trusts” (NYT, 5/13/14)

April 2014

• CFPB Settlement Negotiations with BofA re “Add-on” products: 
  • “Bank of America settles probe for $772 million” (WSJ, 4/10/14)
  • “Bank of America to pay $772 million in settlement” (NYT, 4/10/14)
  • “BofA nears credit-card settlement” (WSJ, 4/4/14)
• CVS $20 million Settlement with SEC: “CVS Caremark to pay $20 million to settle SEC charges” (LAT, 4/9/14)
• DOJ Civil Lawsuit Against S&P:“Geithner, S&P and downgrade payback” (WSJ, 4/16/14)
• DOJ Global Settlement Negotiations with BofA:  “Justice Dept. seeks deal with bank over loans” (NYT, 4/25/14)
• Price Settlement:  “Ex-BofA exec settles Merrill suit” (NYT, 4/26/14)
• SEC Trial of Mark Cuban for Insider Trading:  “How the Feds rig their prosecutions” (WSJ, 4/4/14)
• SEC Trial Against Wyly Brothers re Offshore Tax Havens:“Scheme of secrecy alleged at trial” (WSJ, 4/4/14)

March 2014

• Bank Settlements Total $100 Billion from 2007-2008 Financial Crisis Litigation and Investigations: [TOP TEN]“Banks pay out $100bn in US fines” (FT, 3/26/14)
• DOJ Bribery Investigation of Rolls-Royce:  “Rolls-Royce discloses bribe probe by US DOJ but no ‘formal inquiry‘” (FT, 3/6/14)
• Falcone $18 million Settlement with SEC: “Falcone accused of using company assets in cash crunch” (NYT, 3/28/14)
• SEC Investigation of Bank Collateralized Loan Obligations (CLOs): [TOP TEN] “SEC is probing dealings by banks and companies in loan securities” (WSJ, 3/25/14)
• SEC Investigation of Goldman, Citigroup Corporate Bond Deals: “Bond insurance under scrutiny” (WSJ, 3/1/14)
• SEC Investigation of Municipal Bond Manipulation: “Muni-debt sales are placed under closer scrutiny” (WSJ, 3/28/14)
• SEC Trial Against Wyly Brothers re Offshore Tax Havens:“Civil trial to start of Wyly brothers in SEC tax-haven case” (WSJ, 3/31/14)
• SEC Trial of Ex-Goldman Trader (Tourre):
  • [TOP TEN] “For SEC, a much-needed win” (NYT, 3/13/14)
  • “Goldman fraudster ‘Fabulous Fab’ hit with $825,000 penalty” (FT, 3/13/14)
  • “Judge imposes hefty fine on ex-Goldman trader” (NYT, 3/12/14)

February 2014

• CFPB Investigation of Mortgage Servicer:  “Mortgage Servicer faces legal action” (WSJ, 2/28/14)
• DOJ/Holder Approach to Financial Crisis Cases: “Atty. Gen. Eric Holder reinvigorated to pursue his goals” (LAT, 2/15/14)
• DOJ Libya Bribery Investigation: “Probe widens into dealings between finance firms, Libya” (WSJ, 2/3/14)
• DOJ Investigation of SunTrust and Fannie Mae Losses:  “SunTrust is probed over its Fannie dealings” (WSJ, 2/28/14)
• Eastern District of New York Prosecutors Investigation of BofA/Countrywide MBS Proper: “Bank of America discloses 2 new investigations” (NYT, 2/25/14)
• SEC $275 million Settlement of MBS Case Against Morgan Stanley:  [TOP TEN] “Legal bills linkedd to crisis lingering” (WSJ, 2/26/14

January 2014

• DOJ Civil Lawsuit Against S&P:
  • “S&P account of an irate treasury secretary” (NYT, 1/22/14)
  • “A government warning to S&P” (WSJ, 1/22/14)
  • [TOP TEN]“S&P chief says Geithner warned about US downgrade” (WSJ, 1/22/14)
• DOJ Civil Trial of BofA/Countrywide Mortgages (The “Hustle” Trial): [TOP TEN]“US seeks $2.1 bn from BofA over mortgage fraud” (FT, 1/31/14)
• DOJ Investigation of Payday Lenders (“Operation Choke Point”): “US inquiry takes aim at banks’ business with payday lenders” (NYT, 1/27/14)
• SEC Trial of Godlman Sachs Trader (Fabrice Tourre):
  • [TOP TEN]“Ex-Goldman trader Tourre fights SEC penalties in fraud case” (NYT, 1/23/14)
  • “Tourre must park $1 million in U.S.” (WSJ, 1/9/14)
  • “Judge rejects new trial for Goldman ex-trader” (WSJ, 1/8/14)

December 2013

• City of Los Angeles Mortgage Discrimination Suit: “Los Angeles accuses banks of mortgage bias” (LAT, 12/6/13)
• CFPB $2.1 billion Settlement With Subprime Mortgage Service (Ocwen):
  • “Ocwen Financial Corp. reaches $2.1-billion mortgage servicing settlement” (LAT, 12/20/13)
  • “Ocwen Financial Corp.reaches $2.1 billion mortgage-servicing settlement” (WSJ, 12/20/13)
  • “US mortgage servicer Ocwen settles customer mistreatment claims” (FT, 12/20/13)
  • “Big subprime mortgage loan servicer agrees to $2.2 billion settlement” (NYT, 12/20/13)
• CFPB $76 million Card “Add-On” Settlement (AMEX): “AMEX to pay $76 million in card add on settlement” (WSJ, 12/26/13)
• DOJ Civil Trial of BofA/Countrywide Mortgages (The “Hustle” Trial): [TOP TEN] “Judge weighs penalty in BofA ‘Hustle case” (WSJ, 12/6/13)
• DOJ Investigation of Credit Default Swaps: [TOP TEN]“No penalties planned in swaps probe” (WSJ, 12/2/13)
• MBS Settlements with Government Agencies: 
  • “Deutsche Bank to pay $1.9 billion over mortgages” (NYT, 12/21/13)
  • “Deutsche Bank strikes $1.9 bn deal on bad US mortgages” (FT, 12/21/13)
  • [TOP TEN]“Deutsche Bank to pay $1.93 billion to resolve FHFA claims” (WSJ, 12/21/13)

November 2013

• DOJ Civil Trial of BofA/Countrywide Mortgages (The “Hustle” Trial): [TOP TEN]“US seeks $864 million from Bank of America over ‘Hustle’ loans” (WSJ, 11/11/13)
• MBS Settlements with Government Agencies: 
  • [TOP TEN] “Penance varies by agency” (WSJ, 11/14/13)
• SEC Investigation of FCPA Violations by Avon:
  • “SEC warning sinks Avon” (WSJ, 11/1/13)
  • “Avon warns over SEC settlement” (FT, 11/1/13)
• SEC Trial of Fabrice Tourre: “After a prominent case, a return to law” (NYT, 11/14/13)
• SEC $150 million MBS Settlement with RBS:
  • “RBS to pay US fine over mortgage-backed securities” (FT, 11/8/13)
  • “Royal Bank of Scotland agrees to pay $154 to settle charges from the SEC” (NYT, 11/8/13)

October 2013

• Barclays FERC  $488 million Penalty:
  • “FERC asks court for action on Barclays” (LAT, 10/11/13)
  • “Watchdog sues Barclays over US Energy Penalty” (FT, 10/11/13)
• CFTC $100 Million Fine of JP Morgan’s “London Whale” Trading Loss:“JP Morgan to pay $100 million in CFTC pact on ‘whale’ traders” (WSJ, 10/16/13)
• CFTC Investigation of Currency Market Manipulation (Deutsche Bank, Citigroup): “Banks comb records in Forex probe” (WSJ, 10/22/13)
• CFTC Whistleblowers: “CFTC scrambles to protect whistleblower’s identity” (FT, 10/2/13)
• DOJ Civil Lawsuits against Large Banks and FIRREA: [TOP TEN] “From anonymity to a Scourge of Wall Street” (NYT, 10/31/13)
• DOJ $1 Billion Settlement with SunTrust: “SunTrust settles US Mortgage claims” (WSJ, 10/11/13)
• DOJ Civil Trial of BofA/Countrywide Mortgages (The “Hustle” Trial):
  • “BofA: US to sue over mortgages” (NYT, 10/31/13)
  • “Reparations from banks” (NYT, 10/26/13)
  • [TOP TEN]“Bank’s midlevel executive becomes a new face of the housing crisis” (NYT, 10/26/13)
  • “Bank of America is found liable for Countrywide mortgage fraud” (LAT, 10/24/13)
  • [TOP TEN]“Jury decides against BofA on ‘hustle’ program” (WSJ, 10/24/13)
  • [TOP TEN]“Jury finds Bank of America liable” (NYT, 10/24/13)
  • “BofA ‘Hustle’ trial is nearing close” (WSJ, 10/23/13)
  • “Countrywide trial nears an end” (LAT, 10/23/13)
  • “Ex-Countrywide official on defense” (WSJ, 10/16/13)
  • “Emails in spotlight at Bank of America trial” (WSJ, 10/3/13)
• DOJ Civil Investigation of Mortgage Fraud: [TOP TEN]“US task force probes nine banks on mortgage-backed securities” (10/24/13)
• DOJ Investigation of Fannie Mae Executives: “Fannie employees reinstated after probe ends” (WSJ, 10/3/13)
• Federal Securities Class Actions and the Supreme Court: [TOP TEN]“A push to end securities fraud lawsuits gains strength” (NYT, 10/16/13)
• Libor Manipulation Settlement (Rabobank): “Rabobank nears settlement on interest rate inquiry” (NYT, 10/24/13)
• SEC Investigation of Xerox:
  • “SEC investigates whether Xerox employees inflated sales” (WSJ, 10/9/13)
  • “Xerox says SEC is probing its unit” (LAT, 10/9/13)
• SEC Trial against the Banks: “Judge spares money fund fine sought by the SEC” (NYT, 10/1/13)
• SEC Trial Against Goldman Trader Fabrice Tourre:“‘Fabulous’ Fabrice Tourre asks for a new trial” (WSJ, 10/2/13)

September 2013

• CFTC Lawsuit Against Corzine (MF Global):
  • “MF ex-officials file for case dismissal” (WSJ, 9/11/13)
  • “Lawyers for Corzine seek case’s dismissal” (NYT, 9/11/13)
• DOJ $5 billion Civil Lawsuit Against S&P Ratings Service:
  • “S&P says don’t rely on its ratings” (LAT, 9/8/13)
  • “S&P and downgrade payback” (WSJ, 9/9/13)
  • [TOP TEN]“S&P accuses U.S. of suing to avenge ratings drop” (WSJ, 9/4/13)
  • “S&P says US government’s lawsuit is ‘retaliation’” (LAT, 9/4/13)
  • “S&P calls federal fraud suit payback for credit downgrade” (NYT, 9/4/13)
• DOJ Civil Trial of BofA/Countrywide Mortgages (The “Hustle” Trial):
  • [TOP TEN]“Why judges are scowling at banks” (NYT, 9/29/13)
  • [TOP TEN]“Bank of America ‘hustle’ trial kicks off” (WSJ, 9/25/13)
  • “BofA set to defend fraud claims in court” (FT, 9/23/13)
• DOJ, CFTC Investigation of Libor Manipulation (ICAP):
  • “ICAP staff faces criminal charges” (WSJ, 9/25/13)
  • “ICAP investors await Libor settlement” (FT, 9/23/13)
  • “ICAP nears rate-probe settlement” (WSJ, 9/23/13)
  • “ICAP is in rate-probe talks” (WSJ, 9/6/13)
• JP Morgan $6.25 billion ‘London Whale’ Trading Loss Investigation: “Jamie Dimon memo outlines simplified JP Morgan structure” (FT, 9/18/13)
• JP Morgan Legal and Regulatory Expenses: [TOP TEN] “Embattled JP Morgan bulks up oversight” (WSJ, 9/13/13)
• SEC, FCPA Investigation of JP Morgan (and Other Banks) Bribery in China:
  • “JPMorgan Chase tests US law on buying influence abroad” (NYT, 9/4/13)
  • “Bribery charges in China for official whose child worked for JPMorgan” (NYT, 9/4/13)
  • “Chasing JPMorgan Chase” (NYT, 9/2/13)
  • “Banks’ ‘Princelings’ hires were widespread in China” (WSJ, 9/3/13)
• SEC Municipal Bond Securities Fraud Litigation: “Meltdowns crank up muni-bond litigation” (LA Daily Journal, 9/18/13)

August 2013

• CFPB Investigation of Mortgage Services: “CFPB chides mortgage services” (WSJ, 8/22/13)
• CFTC Investigation of Aluminum Price Inflation by Investment Banks:
  • “Aluminum probe focuses on costs to users” (WSJ, 8/14/13)
  • “JP Morgan and Goldman to face court on metals warehouse probe” (FT, 8/13/13)
  • “LME, Goldman sued over storage” (WSJ, 8/5/13)
  • “Under US scrutiny, Goldman Sachs offers to speed metal delivery” (NYT, 8/1/13)
  • “Goldman to deliver aluminum to warehouse customers” (WSJ, 8/1/13)
• DOJ’s Future SEC Lawsuit Against BofA:
  • “BofA discloses slew of regulator probes” (WSJ, 8/2/13)
  • “US may move against bank over jumbo loan securities” (NYT, 8/2/13)
• DOJ Investigation of Online Pay Day Lenders: “Probe turns up heat on banks” (WSJ, 8/8/13)
• DOJ and SEC Investigation of Banks and Fines: [TOP TEN]“Banks get ready to feel the penalty pain” (FT, 8/31/13)
• DOJ and SEC Parallel Mortgage-Backed Securities Lawsuits Against BofA/Countrywide:
  • “BofA sued over securities packaged with ‘toxic’ loans” (FT, 8/11/13)
  • “JP Morgan discloses additional probes” (WSJ, 8/8/13)
  • [TOP TEN]“JP Morgan faces civil and criminal inquiries” (NYT, 8/8/13)
  • “BofA sued over 2008 bond deal” (WSJ, 8/7/13)
  • “Justice Department sues bank of America” (NYT, 8/7/13)
  • “US sues BofA over mortgage-backed securities” (LAT, 8/7/13)
• DOJ/SEC/CFTC JP Morgan Investigation of $2 billion London Wale Trading Case: “‘Whale’ fines are readied” (WSJ, 8/28/13)
• FHFA $6bn MBS Lawsuit Against JPMorgan:
  • “JPMorgan: Lingering ghosts” (FT, 8/28/13)
  • [TOP TEN]“JPMorgan’s woes deepen as US demands $6bn penalty” (FT, 8/28/13)
• FHFA Mortgage-Backed Securities Lawsuit Against HSBC: “HSBC profit rises 23% on cost cuts” (WSJ, 8/6/13)
• OCC and CFPB Enforcement Actions against JP Morgan: “Regulators prepare penalties for chase” (NYT, 8/28/13)
• SEC $50 Million CDO Settlement with UBS:
  • “UBS agrees to settle federal claims in mortgage case” (NYT, 8/7/13)
  • “UBS to pay $50 million to settle SEC charges” (LAT, 8/7/13)
• SEC, FCPA Investigation of JP Morgan (and Other Banks) Bribery in China:
  • “JP Morgan hiring put China’s elite on an easy track” (NYT, 8/30/13)
  • “US hiring probe has wide net” (WSJ, 8/30/13)
  • “JP Morgan Asia probe uncovers job links” (FT, 8/30/13)
• SEC Investigation of JP Morgan Hiring in China:
  • “Many Wall St. banks woo children of Chinese leaders” (NYT, 8/21/13)
  • “Hiring the connected isn’t always a scandal” (NYT, 8/20/13)
  • “Cultural traditions do not excuse banks’ rule breaking” (FT, 8/20/13)
  • “Nepotism: When is it a crime?” (WSJ, 8/20/13)
  • “JP Morgan’s China hiring under scrutiny” (FT, 8/20/13)
  • “Hiring by JP Morgan Chase in Hong Kong is questioned” (WSJ, 8/19/13)
  • “Hiring in China by JP Morgan under scrutiny” (NYT, 8/18/13)
• SEC Investigation of S&P Ratings: “Regulator steps up probe into S&P” (WSJ, 8/8/13)
• SEC Trial Against Goldman Trader Fabrice Tourre:
  • [TOP TEN]“Tourre verdict could prolong Goldman’s pain” (WSJ, 8/5/13)
  • “Six counts of ‘greed’?” (WSJ, 8/5/13)
  • “The SEC’s fabulous hindsight” (WSJ, 8/3/13)
  • [TOP TEN]“SEC elated after claiming Tourre’s scalp” (FT, 8/3/13)
  • [TOP TEN]“For Tourre jurors, email wasn’t ‘fabulous’” (WSJ, 8/3/13)
  • [TOP TEN]“In complex trading case, jurors focused on greed” (NYT, 8/3/13)
  • [TOP TEN] “‘Fab’ trader liable in fraud” (WSJ, 8/2/13)
  • “Jury finds “Fab” liable for Wall St fraud” (FT, 8/2/13)
  • [TOP TEN] “Former trader is found liable in fraud case” (NYT, 8/2/13)
  • [TOP TEN] “In victory for SEC, former Goldman trader is found liable in fraud case” (NYT, 8/2/13)
  • “Deliberations start in Goldman trader’s case” (NYT, 8/1/13)

July 2013

• CFPB Illegal Mortgage Bonuses Lawsuit (Murdock’s Castle & Cooke): “Mortgage lender accused of paying illegal bonuses for costlier loans” (LAT, 7/24/13)
• CFTC Investigation of Aluminum Price Inflation by Investment Banks:
  • “A ban on banks holding physical commodities could backfire” (FT, 7/27/13)
  • “Banks should keep out of mines and warehouses” (FT, 7/25/13)
  • “US weighs inquiry into big banks’ storage of commodities” (NYT, 7/23/13)
  • “A shuffle of aluminum but to banks, pure gold” (NYT, 7/21/13)
• CFTC Lawsuit Against Corzine (MF Global): 
  • “Boss’s remark, employee’s deed and moral quandary” (NYT, 7/6/13)
  • “Corzine’s ‘Chinatown’” (WSJ, 7/3/13)
• CFTC Regulation of High Speed Trading “Spoofing”:
  • “US, UK charge high-speed trader” (WSJ, 7/23/13)
  • “New powers invoked to curb a high-speed trading feint” (NYT, 7/23/13)
• DOJ $5 billion Civil Lawsuit Against S&P Ratings Service:“US’s S&P suit gets initial nod to proceed” (WSJ, 7/9/13)
• FHMA $885 Million Settlement with UBS for Freddie/Fannie Mortgages:
  • “UBS and regulators settle loan lawsuit” (LAT, 7/26/13).
  • “UBS settles for $885 million” (WSJ, 7/26/13)
  • “In depth: UBS” (FT, 7/23/13)
  • “UBS agrees to settlement with FHFA on mortgage bonds” (WSJ, 7/23/13)
  • “UBS reaches settlement on mortgage securities” (NYT, 7/23/13)
• Gupta $13.9 million Penalty and Director Lifetime Ban and SEC Civil Lawsuit: “Gupta ordered to pay $13.9 million” (WSJ, 7/18/13)
• SEC $50 Million CDO Settlement with UBS:“UBS to pay fine over mortgage-bond deal” (WSJ, 7/31/13)
• SEC Municipal Fraud Lawsuit Against Miami: “Muni fraud is alleged in Miami” (WSJ, 7/20/13)
• SEC Trial Against Goldman Trader Fabrice Tourre:
  • [TOP TEN]“Jurors set to decide Tourre’s fate” (WSJ, 7/31/13)
  • [TOP TEN]“Lawyers present closing arguments in former Goldman trader’s fraud case” (NYT, 7/31/13)
  • “Judge sets the pace in Tourre trial” (WSJ, 7/30/13)
  • [TOP TEN]“Tourre’s defense rests without calling a witness” (NYT, 7/30/13)
  • [TOP TEN]“A corporate person in the news: Fabrice Tourre” (FT, 7/27/13)
  • “Email in spotlight at Tourre trial” (WSJ, 7/26/13)
  • “Tourre says others voiced no qualms” (WSJ, 7/27/13)
  • “After filling in a blank, trader finishes testimony” (NYT, 7/27/13)
  • [TOP TEN] “Defense tries to show sympathetic side of ex-trader” (NYT, 7/26/13)
  • [TOP TEN]“Trader and SEC lawyers spar over email” (NYT, 7/25/13)
  • [TOP TEN] “Tourre takes the stand” (WSJ, 7/25/13)
  • [TOP TEN]“Witness says she was misled about deal in Tourre case” (WSJ, 7/24/13)
  • [TOP TEN]“Witness in Tourre case describes difficulty in knowing deal’s friends from foes” (NYT, 7/24/13)
  • “Goldman has eyes on future” (WSJ, 7/23/13)
  • “Tourre lawyers focus on reliability of federal witness” (NYT, 7/23/13)
  • “Goldman ex-trader has turn this week” (WSJ, 7/22/13)
  • “SEC asks ex-Tourre co-worker about deal” (WSJ, 7/20/13)
  • “The fabulous Tourre trial” (WSJ, 7/20/13)
  • “Testiness at trial of Tourre” (WSJ, 7/18/13)
  • “At trial SEC battles against its own witness” (NYT, 7/18/13)
  • “Top witness for the SEC turns testy on the stand” (NYT, 7/17/13)
  • “Wall Street justice and ‘Fabulous Fab’” (FT, 7/16/13)
  • “Major financial crisis trial kicks off in New York” (LAT, 7/16/13)
  • “Dueling depictions in trial of ex-Goldman banker” (WSJ, 7/16/13)
  • [TOP TEN]“Jury is seated at trader’s trial, then is showered with jargon” (NYT, 7/16/13)
  • [TOP TEN]“Arsenal of legal firepower masses around Tourre trial” (NYT, 7/16/13)
  • [TOP TEN]“Goldman’s presence will be felt at Tourre trial” (WSJ, 7/12/13)
  • [TOP TEN]“SEC hopes for validation in Goldman trader case” (NYT, 7/10/13)
  • “Tourre seeks to exclude ‘fabulous fab’ emails from trial” (WSJ, 7/10/13)
  • [TOP TEN]“Trader’s day in court may lack some details” (NYT, 7/9/13)

June 2013

• CFTC Lawsuit Against Corzine (MF Global): 
  • “Corzine charged in connection with misuse of customer funds” (FT, 6/29/13)
  • “Suit accuses Corzine of a failure at the helm” (NYT, 6/28/13)
  • “Regulators sue Jon Corzine over failure of MF Global” (LAT, 6/28/13)
  • “Corzine charged in MF Global collapse” (WSJ, 6/28/13)
  • “Civil charges appear near for Corzine” (WSJ, 6/26/13)
  • “Watchdog plans civil suit against Corzine over MF Global collapse” (FT, 6/26/13)
  • [TOP TEN]“US civil charges against Corzine are seen as near” (NYT, 6/25/13)
• CFTC Lawsuit Against US Bancorp (Peregrine Financial Embezzlement):
  • “US Bancorp unit charged in Peregrine fraud” (FT, 6/6/13)
  • “US Bank sued over Peregrine role” (WSJ, 6/6/13)
• Insider Trading Settlement with SEC (Dosti, Whittier Trust):
  • “SEC sues company and fund manager” (WSJ, 6/8/13)
  • “Fund manager settles case in a far-reaching Dell insider trading ring” (NYT, 6/8/13)
• “Naked Short Seller” Trial: “SEC nets win in ‘naked short’ case” (WSJ, 6/11/13)
• Randy Perelman Settlement with SEC:
  • “To billionaire’s Failed deal, add rebuke from SEC” (NYT, 6/14/13)
  • “SEC says Revlon mislead investors, directors” (WSJ, 6/14/13)
• SEC Trial Against Goldman Trader Fabrice Tourre:“Goldman Sachs: Ex-trader turned back on summary judgement” (WSJ, 6/5/13)

May 2013

• CFTC Investigation (Derivatives/Swaps): “Watchdog probes $1m  US swap contracts” (FT, 5/14/13)
• Falcone Settlement with SEC: “An SEC settlement that seems to favor Falcone” (NYT, 5/14/13)
• Hedge Fund CEO $18 Million Settlement with SEC:
  • “Falcone in $18 million settlement with SEC” (NYT, 5/10/13)
  • “Falcone Relents, Gets Industry Ban” (WSJ, 5/10/13)
• Nasdaq $10 Million Settlement with SEC  (Facebook IPO):
  • “Nasdaq hit with $10 million fine” (WSJ, 5/30/13)
  • “Nasdaq is fined $10 million over mishandled Facebook public offering” (NYT, 5/30/13)
  • “Nasdaq settles Facebook IPO debate with SEC” (LAT, 5/30/13)
• SEC Lawsuit Against Goldman’s Tourre:“Defendant alters legal team” (WSJ, 5/14/13)
• SEC Lawsuit on Municipal Bonds Discrimination (Harrisburg, PA):
  • “SEC contends Harrisburg, Pa., misled its bond investors” (NYT, 5/7/13)
  • “City hit by SEC fraud charges” (WSJ, 5/7/13)

April 2013

• Foreign Corrupt Practices Act (FCPA):
  • “Perfume, Dresses and Cash In Ralph Lauren Bribe Case” (WSJ, 4/23/13)
  • “Ralph Lauren pays 1.6m to settle bribe allegations” (FT, 4/23/13)
• SEC Lawsuit Against Victorville: “SEC accuses desert city of fraud” (LAT, 4/30/13)
• S&P Lawsuit:
  • “Suddenly, banks are victims” (WSJ, 4/25/13)
  • [TOP TEN] “S&P seeks dismissal of US civil suit over rating of mortgage debt” (NYT, 4/23/13)
  • [TOP TEN] “S&P has unusual defense” (WSJ, 4/23/13)
  • “S&P, Moody’s split on bonds behind suit” (WSJ, 4/8/13)

March 2013

• [TOP TEN]Facebook IPO SEC Settlement: “Facebook IPO payback set” (WSJ, 3/26/13)
• Foreign Corrupt Practices Act (FCPA):“Brookfield Brazil unit draws SEC scrutiny” (WSJ, 3/8/13)
• Investigation of Chesapeake Remuneration Plan (McClendon): 
  • “SEC increases scrutiny of Chesapeake Energy” (NYT, 3/3/13)
  • “Chesapeake under SEC investigation” (FT, 3/3/13)
• Investigation of Goldman Sachs: “Libya fund aids SEC probe into Goldman” (WSJ, 3/1/13)
• Oppenheimer Settlement:
  • “Oppenheimer settles accusations of misleading investors” (NYT, 3/12/13)
  • “Oppenheimer & Co. to pay fine over fund” (WSJ, 3/12/13)
• S&P Lawsuit:“US adds heavyweight prosecutor to S&P case” (LA Daily Journal, 3/27/13)
• SEC Investigation of UBS  Mortgage-Securities: “UBS in talks over bond deal” (WSJ, 3/23/13)

February 2013

• [TOP TEN]DOJ Prosecution Strategy: “Prosecutors, shifting strategy, build new Wall Street cases” (NYT, 2/19/13)
• Investigation of Trades Surrounding $23 Bn Heinz Deal: 
  • [TOP TEN] “Mindful of bubbles in a boom for deals” (NYT, 2/25/13)
  • “Mindful of bubbles in a boom for deals” (NYT, 2/23/13)
  • “FBI probes trading in Heinz options” (WSJ, 2/20/13)
  • “FBI said to be looking at Heinz trades” (NYT, 2/20/13)
  • “Options activity questioned again” (WSJ, 2/19/13)
  • “SEC, suspecting insider trading, freezes account over Heinz merger” (NYT, 2/16/13)
  • “SEC freezes a Swiss account over Heinz trades” (WSJ, 2/16/13)
  • “SEC looks at trades day before Heinz deal” (NYT, 2/15/13)
• Lender Processing Services $35 m Settlement: “Robo-sign ing fraud case is settled” (NYT, 2/16/13)
• Pay to Play Pact Settlement: “‘Pay to Play’ Pact yields $24 million for New Mexico” (WSJ, 2/23/13)
• Potential Moody’s Lawsuit?: 
  • [TOP TEN] “Two firms, one trail in probes of rating” (WSJ, 2/11/13)
  • “Litigation fears take shine off Moody’s 66% rise in income” (FT, 2/9/13)
  • “Moody’s: cowed by legal threat” (FT, 2/9/13)
• S&P Lawsuit:
  • [TOP TEN] “Current employees star in S&P suit” (WSJ, 2/25/13)
  • “Shifting blame muddles S&P lawsuit” (WSJ, 2/15/13)
  • “McGraw says $5Bn S&P suit will fail” (FT, 2/13/12)
  • “Rating raters’ ratings” (WSJ, 2/12/13)
  • “On the waiting list at the debt-rating club” (NYT, 2/10/13)
  • [TOP TEN]“In actions, S&P risked Anderson’s faith” (NYT, 2/8/13)
  • “Keker & Van Nest land defense of federal S&P suit” (LA Daily Journal, 2/8/13)
  • [TOP TEN]“Probe adds to rating firms’ woes” (WSJ, 2/8/13)
  • [TOP TEN]“State lawsuits could add to S&P exposure” (WSJ, 2/7/13)
  • “Central District attractive venue for S&P suit” (LA Daily Journal, 2/6/13)
  • “US accuses S&P of $5bn fraud” (FT, 2/6/13)
  • “Suits reveal details on S&P views” (LAT, 2/6/13)
  • “US contends that S&P purposely used faulty models” (NYT, 2/6/13)
  • “S&P emails show alarm and gallows humor” (NYT, 2/6/13)
  • “Payback for a downgrade?” (WSJ, 2/6/13)
  • [TOP TEN] “US to S&P settle in for bitter combat” (WSJ, 2/6/13)
  • “Is S&P to blame” (LAT, 2/6/13)
  • [TOP TEN] “US accuses S&P of fraud in suit on loan bundles” (NYT, 2/5/13)
  • [TOP TEN] “US sues S&P over ratings” (WSJ, 2/5/13)
  • “US sues S&P over ratings” (LAT, 2/5/13)
  • “S&P faces civil suit over ‘rosy’ ratings” (FT, 2/5/13)

December 2012

• SEC Mortgage Bond Investigation of Wells Fargo: “Insider Trading: Wells Banker is arrested” (WSJ, 12/14/12)

November 2012

• Aletheia Research and Management:
  • “SEC weights suing Aletheia manager” (NYT, 11/21/12)
  • “SEC said to be investigation money manager’s trading practices” (NYT, 11/13/12)
• Barclays: DOJ/SEC Joint Investigation of Capital Raising Efforts During Financial Crisis:
  • “More probes add to Barclays woes” (NYT, 11/1/12)
  • “Facing new legal worry, Barclay reports a loss” (NYT, 11/1/12)
• JOBS Act – Related SEC Investigations (Caribbean Pacific Marketing): “Fraud case delayed by two months” (NYT, 11/2/12)
• SEC Mortgage Bond Investigation of Wells Fargo: “SEC drops probe into Wells bonds” (WSJ, 11/29/12)
• Wells Fargo: DOJ Lawsuit re Mortgages:
  • “Wells Fargo rebuts US loans lawsuit” (LAT, 11/2/12)
  • “Wells seeks dismal in mortgage suit” (WSJ, 11/2/12)

October 2012

• Bank of America (Countrywide): DOJ Lawsuit re Mortgages:
  • “The perils of feeding a bloated industry” (NYT, 10/28/12)
  • “US sues BofA for $1bn over home loans” (FT, 10/25/12)
  • [TOP TEN] “Bank of america sued over mortgage sales” (WSJ, 10/25/12)
  • “US sues B of A calling loan fraud ‘brazen‘” (LAT, 10/25/12)
  • “US accuses bank of america of a ‘brazen’ mortgage fraud” (NYT, 10/25/12)
• “Dark Pool” SEC Settlement (eBX): “‘Dark Pool’, SEC settle” (WSJ, 10/4/12)
• Money Market Funds Investigation: “Money-fund curbs test council’s mettle” (WSJ, 10/1/12)
• SEC Hedge Fund Investigation (Falcone): “Falcone to seek case’s dismissal” (WSJ, 10/1/12)
• SEC Suit Against Hedge Fund for “Grossly” Exaggerating Investment Values (Yorkville Advisers): “SEC snares fund firm in data dragnet” (WSJ, 10/18/12)
• Wells Fargo: DOJ  Lawsuit re Mortgages:
  • “US sues Wells Fargo for more that $600M” (FT, 10/10/12)
  • “Wells hit by loan fraud lawsuit” (LAT, 10/10/12)
  • “US sues Wells Fargo for faulty mortgages” (WSJ, 10/10/12)
  • “US accuses of Wells Fargo of lying about mortgages” (NYT, 10/10/12)

September 2012

• DOJ Lawsuit for Discriminatory Lending: “A Fine for Doing Good: The Justice Department sues a bank for prudent lending” (WSJ, 9/17/12)
• Goldman “Pay-to-Play”:
  • “‘Pay-to-play’ costs Goldman” (WSJ, 9/28/12)
  • “Goldman agrees to $12 million in Massachusetts pay to play case” (NYT, 9/28/12) 

• MF Global $1.6 Bn Missing Customer Funds: “Corzine meets with MF Global Investigators” (WSJ, 9/13/12)
• Money Market Funds Investigation:
  • “In the money-market for more oversight” (WSJ, 9/21/12)
  • “Influence of funds ended overhaul” (NYT, 9/8/12)
• NYSE Settlement: 
  • “For super fast stock traders a way to jump ahead in line” (WSJ, 9/19/12)
  • “SEC keeps wary eye on exchanges” (WSJ, 9/17/12)
  • “NYSE Settles Case over Trading Data” (FT, 9/15/12)
  • “Charges Against NYSE May Further Erode Investors’ Trust” (LAT, 9/15/12)
  • “Big Board Settles Case Over Early Data Access” (NYT, 9/15/12)
  • “NYSE is Fined in Data Probe” (WSJ, 9/15/12)
• Parallel Proceedings: “Parallel civil and criminal litigation” (LA Daily Journal, 9/24/12)
• SEC Hedge Fund Investigation (Falcone): “Falcone to seek case’s dismissal” (WSJ, 10/1/12)
• SEC Lawsuit Against Reserve Primary (Money Market Mutual Fund): “Judge deals fund a setback” (WSJ, 9/11/12)
• SEC Settlement Regarding Over payment for Bonds: “Money manager to settle SEC suit” (WSJ, 9/8/12)

August 2012

• Dodd-Frank Regulations: “The SEC does Dodd-Frank” (WSJ, 8/23/12)
• Freddie Mac/Fannie Mae Lawsuits: “Subprime whodunit: A case of semantics” (WSJ, 8/21/12)
• Greater Regulation of Municipal Bonds?: “Police, protection, please, from municipal bonds” (NYT, 8/5/12)
• Iran Money Laundering (Royal Bank of Scotland): 
  • “RBS seeks official clarity on Iran business dealings” (WSJ, 8/23/12)
  • “US probes RBS over dealings with Iran” (FT, 8/22/12)
• Money Market Funds Investigation:
  • “US money market funds thwart SEC reform plans” (FT, 8/29/12)
  • “Regulators key role in failed fund reform” (NYT, 8/27/12)
  • “Changes to money market fund stall” (NYT, 8/23/12)
  • “SEC calls off fund-curb vote” (WSJ, 8/23/12)
  • “In an effort to curb money market funds, a Plan B is considered” (NYT, 8/24/12)
  • “At SEC caves on money market funds” (WSJ, 8/24/12)
  • “Action money funds could still be in the cards” (WSJ, 8/24/12)
  • “Straw that broke SEC boat” (WSJ, 8/24/12)
  • “Regulators captured” (WSJ, 8/24/12)
  • “Money market funds face threat of global joint reforms” (FT, 8/24/12)
  • “Scrutiny of money market funds continues” (LAT, 8/24/12)
  • “Breaking a buck, maybe, but not taxpayer’s back” (NYT, 8/12/12)
  • “Danger lurks in the money funds” (LAT, 8/12/12)
  • “SEC/Money-Fund face off; Aug 29” (WSJ, 8/8/12)
• SEC’s Investigation of Executives of Stanford Financial: “Stanford officials face civil charges” (WSJ, 8/31/12)
• SEC Proposed $62m NASDAQ/Facebook Settlement:
  • “UBS also urges SEC to reject Nasdaq’s proposal” (NYT, 8/24/12)
  • “SEC faces call to reject Facebook settlement” (FT, 8/24/12)
• Wells Fargo Mortgage Bias $175 Million Settlement:
  • “Wells Fargo settles mortgage-crisis case for $6.5 million” (NYT, 8/15/12)
  • “Wells Fargo to settle SEC mortgage-securities case” (WSJ, 8/15/12)

July 2012

• Money Market Funds Investigation: “The Achilles heal of the American financial system” (FT, 7/31/12)
• SEC Hedge Fund Investigation (Falcone): “Money funds step up fight” (WSJ, 7/31/12)
• SEC Educational Fund: “Judge criticizes SEC educational fund” (FT, 7/27/12)
• Wells Fargo Mortgage Bias $175 Million Settlement: 
  • “Wells Fargo settles bias case” (LAT, 7/13/12)
  • “Wells Fargo settles lending-bias cases” (WSJ, 7/13/12)
  • “Wells settles loan discrimination claims” (FT, 7/13/12)
  • “A fine for no crime” (WSJ, 7/13/12)
  • “Wells Fargo will settle mortgage bias charges” (NYT, 7/13/12)

June 2012

• Money Market Funds Investigation:
  • “Funds and allies defend the buck” (NYT 6/29/12)
  •  “Suggested safeguards irk fund industry” (NYT 6/24/12)
  • “ Money-fund vote is sought” (WSJ 6/23/12)
  • “SEC chief pushes money-fund revamp” (WSJ 6/22/12)
  • “SEC builds money fund case” (WSJ 6/21/12)
  • “Money market funds still at risk SEC chief says” (NYT 6/21/12)
• Rating Agencies: “S&P’s methods under lens” (WSJ, 6/25/12)
• Schwab Executives Lawsuit: “SEC case against Schwab executive moves forward” (LA Daily Journal, 6/13/12)
• SEC Hedge Fund Investigation (Falcone):
  • “Money market industry’s resistance may hurt companies” (NYT, 6/27/12)
  • “Fraud charges” (NYT, 6/28/12)
  • “SEC sues Falcone and firm” (WSJ, 6/28/12)
  • “SEC Said to be poised to sue fund manager” (NYT, 6/27/12)

May 2012

SEC Settlements: “Why SEC Settlements Should hold Senior Executives Liable” (NYT, 5/29/12)