Asset Management Archive » September, 2016

Asset Management - September, 2016

263 articles

• $413M Och-Ziff Fine Puts Hedge Funds On FCPA Alert
• Reinsurer Execs Conspired With Platinum Partners, Suit Says
• In The Hot Seat: Wells Fargo Shows 3 Deadly Sins Of SOX
• Directors Can't Escape Louisiana Pension Funds' Suit
• Nutmeg Investors Taste Partial Victory In Receiver Suit
• Pemberton Seeks £500M For UK Fund To Fill Lending Gap
• White Collar World Eagerly Awaits Salman Decision
• IBM to Acquire Financial Consulting Firm Promontory
• Calif. Governor Signs Off On New State-Run Retirement Plan
• Oral Advocacy And 'Vocal Fry'
• Barclays Wants Second Shot At Exiting Libor Suit
• Proskauer Rose Nabs Ex-White & Case Funds Group Head
• SEC Says Stockbroker Fleeced Mutual Fund Investors
• Feds Say T-Note Options Trader Lost $14M To Fake Profits
• Bank To Pay $83M For Getting FHA Insurance On Bad Loans
• Colony Capital Investor Sues To Block NorthStar Merger
• 3 Cos. Price IPOs Totaling $329M At Bottom Or Below Range
• Investors Split On SunEdison Venue At JPML
• Kasowitz Steers $99M NYC Buy, Gibson Guides $83M Loan
• Och-Ziff Inks $413M FCPA Deal, Unit Pleads Guilty
• Caisse De Depot Pays $500M For Minority Stake In Sedgwick
• Garrison JV Sells Senior Living Portfolio For $180M
• UBS Unit Can Try To Appeal Master Order In $2B Loan Case
• Navistar To Pay $9.1M To Resolve Shareholder Suit
• TerraForm Settles Suit Over Now-Junked $2B SunEdison Deal
• Och-Ziff Nears $400M Deal, Guilty Plea For Unit In FCPA Row
• Redbox Parent Shareholder Suits Merged In $1.6B Buyout Row
• Lynn Tilton Justifies Latest Suit Over SEC In-House Rules
• Norberg Named As New SEC Whistleblower Chief
• Danish Funds Grab $640M Stake In Ship Finance Co.
• SEC Reluctantly Adopts New Clearing Agency Standards
• Former REIT Exec Denies Covering Up $12M Earnings Error
• Investors Seek Final OK For $58M HSBC, Citi Libor Deals
• SEC Credits Big Data In $15M UBS Deal Over Sales Staff
• The Courtroom Where It Happened: Hamilton As A Lawyer
• Och-Ziff Brass Escape Derivative Suit Over FCPA Probes
• SL Green Scores $1.5B Loan For NYC Office Tower
• Goldman Sachs Pumping $70M Into Red Planet Hotels
• FINRA Fines NY Firm Over $2.5B Venezuelan Bond Sales
• Douglas Emmett, QIA Drop $140M On Calif. Office Building
• Why Have Lawyers Forgotten About The Middle Class?
• Wells Fargo CEO To Forfeit $41M Amid Internal Probe
• IRS Floats Guidance On Qualification Requirements For RICs
• Argentina Holdouts In 2nd Circ. Target Bank Trustee Loot
• Ares REIT Closes On $153M In New, Floating-Rate Loans
• City Office REIT Prices $100M Stock Offering
• 3rd Circ. Won't Revisit Citigroup FINRA Arbitration Win
• Oaktree Capital Atty Beats UAE Extradition Bid In London
• Supreme Court Won't Stay In-House SEC Suit Against Tilton
• The Meaning Of 'Affiliate' In Class Action Settlements
• US Settles With 17 Tribes Over Land Mismanagement Claims
• Investor Slips Cher's Suit Over Underperforming Funds
• Santander Brass Hit With Derivative Suit For Lax Controls
• Penalty Sought For Bad Deposition In $63M Real Estate Suit
• No Stay For Jailed Ex-Adviser As SEC Seeks $2.6M Judgment
• Pimco Co-Founder Can Depose CEO In $200M Suit: Judge
• Tilton Unlikely To Prevail In High Court Quest, SEC Says
• NY Man's Estate Can Claim $5M Loss From Ponzi Scheme
• Willkie Farr Snags Ex-Cadwalader Corporate Chair
• CBL Faces Grouped Suits Over Loan Fraud Probe, Insider Info
• Protection For Bondholders During Collateral Release
• SEC Adds 30 Days For Comment On Disclosure Requirements
• Aviva Unit Pays SEC Fine Over Cross-Trading Allegations
• Merrill Lynch Pays $15.5M In 'Mini-Flash' Crash Fines
• Ex-Tribe Leaders Knock Judgment Bid In Embezzlement Row
• 3 Firms Prime IPOs Totaling $547M Led By 'Unicorn' Nutanix
• Real Estate Giants: Comcast Center, Philadelphia
• Columbia Property Sells Denver-Area Campus In $122M Deal
• DC Circ. Urged To Rethink SEC In-House Constitutionality
• Chancery Urges Charney To Lawyer Up In Hedge Fund Fight
• Dems Want Wells Fargo To Halt Arbitral Clause Enforcement
• Madoff Feeder Fund Managers Escape Investor Class Action
• Investors Blast Barclays' 2nd Circ. Case Use In Libor Row
• Rothstein Feeder Fund Agrees To Hutchison & Steffen Deal
• Ruckus Investor Seeks Chancery Look At $1.2B Brocade Buy
• FASB Chairman Grilled Over R&D Write-Off Requirement
• Canadian Regulator Seeks Input On Commodity Pool Rules
• Asset Managers Say Watchdog's Proposals Not Needed
• Online Brokerage Founder Fights Contempt Bid In Fraud Suit
• Highland Row With Ex-Exec Booted To Arbitration
• Sidley, Goodwin Steer REIT Ventas' $450M Notes Deal
• Outerwall Investor Wants Records After $1.6B Apollo Deal
• Merion Tells Chancery Fidelity Underpaid $1.2B For LPS
• $12.2M Fund Sale Approved In SEC's Aequitas Ponzi Case
• 7th Circ. Won't Recall $413M Award In Terror Victims Case
• Deals Rumor Mill: Postal Savings Bank, BlackLine, UniCredit
• Real Estate Rumors: Sisense, Impulsive, BH Properties
• Securities Regs Can't Stop At Nat'l Borders, SEC Head Says
• UBS Urges Court Not To Revive Enron Investors' Suit
• $30M Settlement With Fifth Street Fund Investors Gets OK
• Banks Lose Bid To Strike Lenders' Libor Class Claims
• SDNY's 1st Post-Newman Insider Trading Conviction
• SEC Charges Omega Advisors Founder With Insider Trading
• Tilton's Latest Suit Over SEC In-House Rules Draws Request
• Madoff Accountants Say Trustee Can't Reargue Dismissal
• Mutual Funds Vet Brings Kramer Levin Team To Perkins Coie
• Wal-Mart Investors Granted Cert. In Mexico Bribery Suit
• SEC Hands Out $4M Award To 34th Whistleblower
• Raymond James Wants Jay Peak EB-5 Claims Nixed
• Overhauling Law Firm Records Departments For A New Reality
• UBS Unit Closes Infrastructure Debt Fund With $640M In Tow
• Israeli Real Estate Co. To Appeal Developer's $396K Award
• Abacus Class Impossible To Rebut, Goldman Tells 2nd Circ.
• Losing US Co. Wants Peru's $8M Costs Request Denied
• Barclays Says 2nd Circ. Terrorism Ruling Dooms Libor Suit
• HK Watchdog Seeks To Ease Derivative Position Limits
• BNY Mellon Asks 2nd Circ. To Deny Argentina Trust Payout
• Warren Calls For Wells Fargo CEO's Head At Senate Hearing
• What's In Your Obligations Inventory?
• US Chamber, Others Say DOL Fiduciary Rule Is Overreach
• Former SEC Commissioner Joins Falcon Cyber As Partner
• Russian Bank To Pay $5M In CFTC Deal Over Futures Trades
• Quinn Emanuel Agrees To Duck Out Of Elan Investor Suit
• Funds Take Melbourne Port Private In AU$9.7B Deal
• Deutsche Bank Gets Swap Dispute Moved From Texas To NY
• Tilton Can't Get Quick Win In $200M SEC In-House Suit
• Freshfields Reps AIG On $240M Sale, Part Of $1.1B Deal
• Broker Slams Investors' Subpoenas In Libor Action
• Real Estate Fund Says $1B Ponzi Suit Belongs In Fed. Court
• 3 Firms Steer REIT MedEquities Realty's Planned $259M IPO
• Market Makers Take Another Stab At Exchange Fee Challenge
• Tesco Ends Final Securities Suit Over $425M Overstatement
• Iron Buyer Can't Shake $2M Award With 'Puzzling' Arguments
• SEC Member Invites Comments On Regulation NMS Review
• Rainmaker Q&A: Bernstein Litowitz's Blair Nicholas
• FINRA Bars Ex-Brokerage CEO Over Theft From Clearing Firm
• Former Calif. Atty Pleads Guilty To $2.5M Investment Scheme
• The Rogue Insider: Protecting Against Trade Secret Theft
• A Critical View Of Calif. Vested Rights Law
• 3 Firms To Lead Class In $2.5B Junk Bond Fund Loss Suit
• CFTC Chair Seeks To Delay Drop In Swap Threshold
• Robbins Geller, Labaton To Lead Joined Target Investors Suit
• HSBC Escapes Aiding, Abetting Claims By Madoff Investors
• Alston & Bird, Stroock Guide $220M Deutsche-JPMorgan Deal
• Europe's Tikehau Capital Nets €610M For Direct Lending Fund
• Inside Corvex's Brewing Proxy Fight For Williams' Board
• SEC Judge Challenges Tossed After 11th Circ. Decision
• 3 Firms Steer Storage JV's $630M Property Portfolio Buy
• I Know My Rollover Is Late, But It's OK
• Energy-Focused PE Firm Settles With SEC For $3.5M
• CFTC Raises The Bar For Clearinghouses
• 3 Steps To Successful Judgment Enforcement
• Calif. To Require Pension Funds To Reveal Private Equity Fees
• Pimco Says Co-Founder Gross Hiding Evidence In $200M Suit
• Pension Co. Pans 'Fiction' In Tribe's Embezzlement Suit
• SEC Chief Flags Challenges In Algorithmic Trading Regs
• 1st Circ. Says UPS Retiree's Family Can't Collect Benefits
• SEC Welcomes Whistleblower Attys, Enforcement Chief Says
• AIB Says Del. Precedent OKs Sending Fund Suit To Bulgaria
• Hulic Affiliate Drops $202M On 3 Tokyo Property Stakes
• SAC Backs Push For Quinn Emanuel DQ In Elan Investor Suit
• Lloyds Cites Sokolow Decision In Bid To Escape Libor Suit
• Ex-Simpson Thacher Clerk Gets Prison For Insider Trading
• Och-Ziff Unwinds Class Cert. Order Hours After Judge Errs
• Ex-Highland Exec Says He Was Smeared For Revealing Scams
• Sapphire Obtains $1B In New Funds For Tech Ventures
• FINRA Fines Ameriprise For Missing Fraudulent Transfers
• Government's Brief In Salman Urges A Bright-Line Test
• What Is 'Real Property'? Looking At The Latest REIT Rules
• Reducing Settlement Delays In Loan Trading Market
• Dodd-Frank Repeal Bill Passes Out Of House Committee
• NY Judge Narrows Investor Claims In Libor MDL
• Retail Investment Disclosure Vote May Leave Firms In A Bind
• GLP Buying $1.1B Portfolio From Ross Perot's Hillwood
• Real Estate Rumors: Thor Equities, Gladstone, Rentar
• Feds Charge Ex-Spurs Star's Investment Adviser With Fraud
• FINRA Says Fla. Brokerage Turned Blind Eye To Laundering
• Rainmaker Q&A: Baer & Troff's James Baer
• 7th Circ. Judge Questions Ruling In Sentinel CEO's Case
• Freeport-McMoRan Inks $2B Sale Of Deepwater Gulf Assets
• Viking Cruises Receives $500M PE Capital Infusion
• Why Good Corporate Governance Is Essential For SPVs
• Hersha Hospitality Trust Selling 5 Hotels For $185M
• Should Your Law Firm Move To The Cloud?
• Quinn Emanuel May Face DQ Action In SAC Capital Suit
• Skadden Tells Justices Ex-CEO's Fee Appeal Is Just A Grudge
• SEC Wants Firms To Watch Reps With Troubled Pasts
• Walton Street Picks Up Tampa Hotel From Blackstone
• Rainmaker Q&A: Schulte Roth's David Nissenbaum
• SEC Fines Investment Adviser $2.8M Over Annuities Scheme
• Deals Rumor Mill: UniCredit, Highmark Health, Siemens
• SE Asian Capital Market Regulators Push Bond Market Growth
• Greenberg, Clifford Chance Steer $209M Poland Office Deal
• TPG-Gramercy Real Estate JV To Spend As Much As $1B
• Justice Ginsburg Seeks SEC Response To Tilton's Stay Bid
• Rise In Whistleblower Claims Likely With New CFTC Rules
• What Mutual Fund Advisers Can Learn From AXA Trial Win
• From The Partner's Desk: Paving Your Path To Partnership
• Peru Says Tweak To $1.6B Arbitration Claim Dooms Gramercy
• Calif. Tribe Says Adviser Played Key Role In Embezzlement
• State Securities Suits Are Mounting, Cyan Tells High Court
• BOKF Settles Beef Over Bond Offering For Senior Centers
• Real Estate Rumors: AFIAA, Great Gulf, Durst Organization
• Latest Tilton Suit Says SEC Railroads In-House Respondents
• House Approves Scaling Back Adviser Reporting Rules
• Taxation With Representation: Sullivan, Skadden, Kirkland
• Judge Wary Of Midcase Appeal In $1.5B GM Ch. 11 Row
• Ascendas REIT Buys 2 Aussie Properties For AU$168.2M
• Stifel Reaches SEC Deal On Eve Of $200M CDO Trial
• How We Can Diversify The Legal Profession And Why We Must
• Edison Workers Urge Full 9th Circ. To Revive ERISA Suit
• Jailed Hedge Funder Needs More Attitude Adjustment: Judge
• CFPB Wells Fargo Fine A Red Flag On Pay, Sales Plans
• 2 Firms To Pay SEC Fines Over Wrap Fee Compliance Failures
• Fed Pushes For Tighter Limits On Banks' Commodity Biz
• DLA Piper, Sidley Guide REIT WP Carey's $350M Debt Deal
• SEC Judge Rebukes Tilton's 'Fishing Expedition'
• Judge Won't Pause MagCorp Trustee's $26.2M Stake Sale
• 3rd Circ. Asked To Rehear Toss Of FINRA Arbitration Suit
• Divided CFTC Recognizes Japanese Swap Margin Rules
• HTA Drops $187M On Medical Office Buildings
• Former REIT CFO Charged With Fudging Earnings Metric
• Ex-Exec Charged In $7B Ponzi Scam Can Appeal Industry Ban
• Wells Fargo To Pay $185M Fine For Fraudulent Sales Tactics
• 11th Circ. Nixes ADT Investors' Securities Fraud Suit
• IBM Beats Shareholder, ERISA Suits Over $4.7B Divestiture
• PE Banker Reaches SEC Deal Over $95M Fraud
• CFTC Charges Assistant Trader With Making False Reports
• Cargill Unit Wants $6.7M Mexican Resort Award Upheld
• White House Threatens Veto Of GOP Securities Bills
• 2 US REITs Merging In $1.4B Deal
• Wells Fargo Fires Back In Bid To Beat RMBS Suits
• 11th Circ. Won't Rethink Challenge To SEC In-House Judges
• Real Estate Rumors: Hogan Lovells, Blackstone, Brookhill
• Pension Fund Rescue Plans Pose Employer Predicaments
• $3.5M Fees Sought In Sterling Chemical Class Settlement
• Auto Parts Firm Greenlights Icahn's Takeover Bid
• Deutsche Defends Claim It Didn't Know Securities Were Bad
• Judge Draws Map For Tallying UBS Liability In $2B Loan Case
• 3 Firms Guide Telecom REIT's Equity Offering Program
• Deals Rumor Mill: Petrobras, Avolon Holdings, Formula One
• Fed. Circ. Asked To Save Suit Over $25M Tax Shelter Penalty
• MF Global Blasts Customer Attys' $47M 'Free Ride' Fee Bid
• Judge Tosses Suit Over Failed American Apparel Takeover
• SEC Rejects Ex-E&Y Partner's Oversight Board Challenge
• Old Skills, New Tricks: Opportunities For Law Librarians
• Yucaipa's RICO Claims Over Allied Bankruptcy Claims Tossed
• Ex-NJ Investment Pro Gets 46 Months For $1.5M Fraud
• Fried Frank Advises OpCapita On $391M PE Fund Closing
• Kimco Realty Buys Out JV Partner On 4 Malls For $171M
• Lessons From Recent FINRA Cycle Exams
• Laid-Off TransCare Workers Can Subpoena Wells Fargo
• BNY Sues Investment Co. For Poaching Clients, Nabbing IP
• Real Estate Giants: Salesforce Tower, San Francisco
• Feds Expanding Insider Trading Law, Salman Tells High Court
• UK REIT Segro Raises $430M With Share Sale
• Calif. Senate Sends State-Run Retirement Plan Bill To Gov.
• Ex-Morgan Stanley Reps Sued Over $190M Venezuelan Trades
• Profs Say Petrobras Holds Burden Of Proof In Cert. Appeal
• California Puts Disclosure Pressure On Fund Managers
• Pfizer Stockholder Denied Request To Inspect Co. Records
• Canada Pension Group Buys $896M Slice Of Oxford Portfolio
• Atty Suspended From SEC Over $6M 'Prime Bank' Scheme
• SEC Approves SIPC Broker-Dealer Fee Changes
• Tribe Says Pension Co. Can't Duck Latest Embezzlement Suit
• Investment Adviser Gets 6 Years For Gambling Away $1.8M
• Discovery Feud Rages In $7.7B NovaStar MBS Fraud Action
• CFTC Allows More Time To Implement Swaps Custody Rules
• JPMorgan Asset Unit Buys Out Global Solar Developer
• Canadian Regulators Clarifiy Global Bond Trading Policy
• Ex-Goldman Exec Rips Arbitration Push In Fed Leak Fees Suit
• Compass Scores $75M From Wellington, Other Investors
• Activist Hedge Fund Elliott Lifts Stake In Poundland