Asset Management Archive » March, 2017

Asset Management - March, 2017

299 articles

• T. Rowe Must Face Suit Over $388M In Mutual Fund Fees
• Nomura Trader Says 'Litvak' Should Be Taboo At Trial
• Ex-JPMorgan Analyst Can't Duck Deadlock Charges, Feds Say
• A Law Firm's Guide To Social Media
• IOSCO Enhances Int'l Cooperation Standards For Enforcement
• Morgan Lewis Axed By Client Over Ties To Trump
• Ex-Exec Ducked Cleanup Obligations In CERCLA Suit
• Standard General Open To Settling Charney Coverage Suit
• Peabody Energy ERISA Case Gets Tossed By Missouri Judge
• SEC Upholds Penalties Against 'Financial Myth Busting' Host
• Goldman, Citi Loan Mack-Cali $125M For New Jersey Buys
• Winston & Strawn Malpractice Suit Transferred To Florida
• Hedge Fund Drug Patent Challenges In Doubt After Bass' Test
• UBS Age Bias Suit Denied Hiatus For Class Waiver Ruling
• Simpson Steers Carlyle's $218M NYC Office Condos Buy
• 3 Firms Guide $107M Amherst Residential Portfolio Deal
• Seminoles Lose Bid For Share Of Oil Co. Heir's Insurance
• NYC Man Pinched In $2.4M Forex Fraud Pleads Guilty
• Interdealer Broker To Pay SEC $2.5M Over Hidden Markups
• Judge Picks Receiver For Cos. Linked To $7.4M Chilean Fraud
• 7th Circ. Refuses To Block Order For 'Ariel' Name Change
• Private Credit Market Deals Expected To Rise, Survey Says
• CFTC Appoints NY Fed. Prosecutor As Enforcement Chief
• UBS Units Urge 5th Circ. To Nix Suit Over Enron Knowledge
• Ex-Citibank Traders Hit With CFTC Fines Over Spoof Orders
• SEC Pauses 'Big Short' Adviser's Fine For Appeal
• PCAOB Sanctions Ex-Deloitte Brazil Execs Over Cover-Up
• 7th Circ. Wary Of Expanding Atty Liability In Mayer Brown Suit
• Senate Votes To Ax DOL Municipal Retirement Savings Rule
• DOL Fights Request To Halt Fiduciary Rule At 5th Circ.
• Ex-Nomura Traders Want Tardy Evidence Nixed From Trial
• Swaps Buyers Fight To Keep Claims Broad In ISDAfix Suit
• Ex-American Apparel CEO Can't Revive Firing Defamation Suit
• Dems Say Piwowar Overstepping Authority At SEC
• 13 Escape Claims They Defrauded An Elderly Man
• Duke Energy Investors Take Coal Ash Suit To Del. High Court
• Goldin Properties Gets $1.5B Offer From Chairman
• Balancing Activist Concessions With Shareholder Sentiment
• MSRB Ad Rule Proposals Take Heat From Some Muni Advisers
• Stock Promoter Can't Sue To Stop SEC Action, Judge Says
• RBS Objects To Direct Appeal In Madoff Clawback Fight
• Ex-Katten Atty Says Indictment In Shkreli Case Is 'Careless'
• PE-Backed Athene Preps Potential $1.3B Secondary Offering
• 9th Circ. Tosses Steve Wynn's FCPA Defamation Suit
• DLA Steers Union Investment's $90M Seattle Hilton Hotel Buy
• Silence May Not Be Golden For Cos. After High Court Review
• Attys Bungled Briefs In Fannie, Freddie Suit, DC Circ. Told
• FINRA, Exchanges Say Lek Securities Fostered Fraud Account
• Stinson Staves Off DQ In 2 ResCap MDL Cases
• Pimco Strikes Deal With Gross In $200M 'Family' Ouster Row
• 10th Circ. Urged To Stick With Ruling On SEC Judges
• Are Your In-House Lawyers Happy?
• Wal-Mart Fights Sanctions Bid In Mexican Bribes Docs Rift
• Chicago Adviser's Assets Frozen In SEC Senior Fraud Case
• Ex-Compliance Chief Cops To SEC's Brokerage Fraud Claims
• Deals Rumor Mill: EGA, Ferromex, Fortis Healthcare
• Atty Says FBI Leaker Possibly Tainted Platinum Partners Case
• Sullivan Worcester Reps SNH On $261M Property Stake Sale
• High Court To Weigh Disclosure Duty In Leidos Investor Suit
• Clayton SEC Is Well-Positioned To Scrap CAT
• Prevezon Wants No Mention Of Magnitsky In Seizure Trial
• Sidley, Deloitte Likely Still On Hook For $350M Ponzi Row
• Taxation With Representation: Latham, Kirkland, Simpson
• Judge Will Allow Class To Object To $75M State Street Fees
• 2nd Circ. Referees Fund Founder's Suit Against Prosecutors
• Vegas Man Can't Shake $1.5B Ponzi Scheme Charges
• NYC Chrysler Building Owners Land $300M Loan
• CORRECTED: Citigroup Won't Seek Fees, Costs In Arbitration Spat
• Blackstone Exits SeaWorld In $429M Stake Sale
• KRE Group, Partner Score NJ Rental Complex In $70M Deal
• Piwowar Applauds Market Study, Plans Exchange Fees Pilot
• Broker Gets 90 Days In $131M ForceField Stock Pump Case
• Google, NASA, Planes And A Stronger Legal Team
• 5 Takeaways From Clayton's SEC Confirmation Hearing
• Ex-UBS Exec Says FINRA Testimony Got Him Fired
• FINRA, DTC Accused Of Sending $8M To Wrong Investors
• IRS Calls $50M In Tax Assessments On Estate 'Protective'
• Washington REIT Paying $135M For DC Office Building
• 10 Tips For Better Legal Negotiations
• MF Global, PwC Settle $2B Malpractice Claim
• Bipartisan Bill Would Make PCAOB Proceedings Public
• SEC Shrinks Settlement Cycle For Securities Trades To 2 Days
• Zohar Funds Say Tilton 'Pillaged' Them, Can't Escape Suit
• Don't Stall CEO-Worker Pay Ratio Rule, Investors Tell SEC
• Biz Groups Urge 5th Circ. To Pause DOL Fiduciary Rule
• Starwood Raises $2.85B Milestone Apartments REIT Offer
• Financial Firm Slams Broker's Challenge To $20M Award
• Mapletree Raises $534M For Student Accommodation Trust
• Gray Matters: Decision Error
• Royal Park Loses Cert. Bid In $3.1B Deutsche Bank RMBS Suit
• Don't Halt CEO Pay Ratio Disclosure Rule, Dem Sens. Tell SEC
• Commerzbank's $1B BNY Mellon RMBS Case Clears Hurdle
• DLA Piper Guides May River In $165M Fund Close
• Atty Can't Keep $5M From Alleged Ponzi Client, 9th Circ. Says
• Scottsdale Urges Supreme Court To Revive FINRA Challenge
• Hong Kong Regulator To Ease Derivative Position Limits
• BNY, Morgan Stanley End $81M Suit Over Mall Built On Dump
• FINRA Charges Clearing Firm Over Supervisory Failures
• PTAB Upholds Biogen Drug Patent In Hedge Fund Challenge
• Law Schools And Law Firms: Seeking Common Ground
• Hedge Fund Founder Calls SEC's Fraud Claims Deficient
• CORRECTED: Citigroup, Abu Dhabi Fund Spar Over Arbitration Costs
• PwC Calls Jury Primer 'Finger On The Scale' In $2B Suit
• Wash. Adviser Who Hid Ponzi From SEC Cops 80-Month Plea
• Ariel Investments Competitor Wants Stay On Name Change
• Omega Advisors Founder Can't Ditch Insider Trading Claims
• High Court Won't Review Would-Be Whistleblower's Petition
• Senior Housing REIT Drops $62M On Memory-Care Facilities
• Bankruptcy Court Must Clarify Millennium Labs Fraud Release
• Broker Defends Ownership Of Junk Wells Fargo Mortgages
• Biz Groups Can't Block DOL Fiduciary Rule, Judge Says
• Jones Day, Simpson Steer $1.4B Europe Real Estate Deal
• FINRA Tackles Senior Financial Exploitation
• Not From Around Here? Trying A Case As An Out-Of-Towner
• Del. Justices Asked To Review AIB Bulgarian Bank Dispute
• DOL Gets Flood Of Letters On Fiduciary Rule Delay
• Chamber Says Texas Judge Should Still Block Fiduciary Rule
• JV Nabs 3 US Student Housing Portfolios In $1.6B In Deals
• SIFMA Applauds CFTC Changes To Record Keeping Rules
• KKR, CDPQ Drop $4.3B On Insurance Brokerage USI
• Pastor, Tech Expert Guilty Of Bitcoin Bank Bribery Scheme
• A Narrow Exception To NY's Foreclosure Limitations Period
• The Firms That Handle The Most Securities Litigation
• Judge Says Jury In $2B PwC Malpractice Row 'Confused'
• Northrop Exec Pressed On $10.5M Expenses In ERISA Trial
• Pa. Judge OKs Assets Plan In $34M ERISA Suit Against Atty
• American Realty Investors Say Class Cert. Is Easy Call
• SDNY Judges Handle 1 In 4 Securities Cases, Data Show
• Investor Sues Over Loan Supposedly Made To NFL Player
• REIT LondonMetric Sells 3 Retail Properties For $75M
• Businessman Gets Nearly 20 Years For $14M Ponzi Scheme
• Making Sense Of Potential DOL Fiduciary Rule Challenges
• Plaintiffs Face Uphill Battle In Excessive-Fee Litigation
• Allergan Investors Win Cert. In Valeant Insider Trading Row
• Ex-Oppenheimer Adviser Gets 6 Months For Insider Trading
• Manatt Phelps Wins $7M Fee Appeal Against ECC Capital
• PwC Fails To Kill MF Global's 'New Theory' In $2B Trial
• Madoff Trustee Wants Transfer Clawback Fight In 2nd Circ.
• Bankrupt SunEdison Seeks To Advance $2.5B Yieldco Deal
• FINRA Appoints Ex-SEC Deputy Chief As Senior Adviser
• CFTC Chair Nominee Urges Scaling Back 'Flawed' Regs
• SEC Says Adviser Misled NFL Players On Unregistered Stocks
• Ex-Hunton Patent Atty Convicted Of Insider Trading
• Investor Threatens Safran Shakeup, Wants End To Zodiac Deal
• Ex-Stanford Workers Blast 5th Circ. Arbitration 'Error'
• Wells, Deutsche Bank, RBS To Pay $165M In NovaStar Deal
• What Should Puerto Rico Offer Its Creditors?
• Considerations For Exhibit Hyperlinks In SEC Filings
• 4 Reasons Cos. Are Staying Private Longer
• Jefferies Seeks End To FINRA Arbitration Over Biotech Stock
• Fed. Circ. Says $50M Hedge Fund Loss Not Exempt From IRS
• Constellis Employees Win $30M In ERISA Suit
• Stifel Nicolaus Pays SEC Fine For Wrap Fee Program Failures
• Wells Fargo Yielded Verdict's Preclusion Of Fiduciary Claims
• SIFMA Backs DOL's Fiduciary Rule Delay
• FINRA Tosses Insider Trading Charges Against Trader
• Wynn's FCPA Defamation Suit Faces Skeptical 9th Circ.
• Wells Fargo Says Broker May Not Own Securities In Suit
• SEC Says Lack Of False Statements Doesn't Negate Fraud
• PNC Liable For Couple's $70M Ponzi Scheme, 6th Circ. Hears
• SEC Urges 10th Circ. To Reconsider ALJ Decision
• Ackman Sells Entire Valeant Stake, Takes Huge Loss
• 3 Firms Steer $479M Deal For Generator Hostels
• Too Late For PwC To Object To 'New' Theory, MF Global Says
• 9th Circ. Widens Split Over Dodd-Frank Whistleblowers
• How The Most Profitable Law Firms Structure Their C-Suites
• PwC Wants New Theory Out Of $2B Malpractice Battle
• Indicted State Street Execs Point To Bank's Forex Woes
• Accountant Gets 5 Years For $1.5M Ponzi Scheme
• 2nd Circ. Says Carrington Breached Recession-Era Contract
• Starr Must Cover Costs Of Govt. Probes, Reinsurer Says
• CVB's $6.2M Deal Ending Investor Class Action Gets OK'd
• Real Estate Rumors: Anbang, 1WorldSync, Sugar Hill Capital
• Bond Insurers Chide JPMorgan At Kickoff Of RMBS Trial
• Wal-Mart Investors Seek Sanctions In Mexico Bribe Case
• Clifford Chance Guides Ivanhoe's $565M Madrid Mall Sale
• PE-Backed Issuers Prime Secondary Deals Totaling $208M
• Northrop Execs' DQ Bid In ERISA Case Called 'Hail Mary'
• Legal Tech Download: Dentons' RegTech, LawGeex Funders
• Ex-Jefferies Trader Can't Ditch Sole Guilty Count, Feds Say
• Schwab Says Securities Routing Suit Lacks Fraud, Injury
• Biz Groups Seek Emergency Stay On DOL Fiduciary Rule
• Don't Bet On Unsupported Worldwide Order To Secure Assets
• Settlement Strategy: What Does The Client Really Want?
• Big Banks Dodge Investors' Rate-Rigging Claims
• Corzine Takes A Few Hits In $2B PwC Malpractice Scrap
• Judge Denies Mid-Case Appeal In $1.5B GM Ch. 11 Dispute
• Real Estate Rumors: Lightstone, Host Hotels, Benchmark
• SEC Judge Won't Stay Tilton Case For Iffy High Court Battle
• JPMorgan, Others See 6 Months Of Rate-Rigging Claims Cut
• Banned Adviser Urges DC Circ. To Upend Past Ruling On ALJs
• Paul Hastings Steers Barclays' $140M NYC Loan
• Taxation With Representation: Davis, Weil, Cravath, Sidley
• Ex-Vanguard Atty Says Dodd-Frank Ruling Backs Revival Bid
• $30M Suit Threat Spurs Claim Against Italian Football Club
• MF Global-PwC Fight Could Set Troublesome Precedent
• SEC Urges 2nd Circ. To Affirm $1M Insider Trading Fine
• SEC Enforcement By The Numbers, And The End Of An Era
• REIT Segro Buys Out Airport JV Partner Aviva For $444M
• In The Associate Lateral Market, All Law Firms Are Not Equal
• Corzine Stands By Bond Bet Prior To MF Global's Collapse
• 10th Circ. OKs Deal Blocking Investor Suits Over $24M Fraud
• Ex-Rabobank Trader Gets Time Served Over Libor Rigging
• Schorsch, Others Sued Over $1.4B RCS Capital Ch. 11
• Reflections From A Mock Trial
• Voya Pays $3M SEC Fine Over Conflicted Revenue Agreement
• 8th Circ. Says Court Mistook Its 401(k) Damages Suggestion
• Deals Rumor Mill: Bayer, Novomatic, Stada
• European Fund Inks €900M IKEA Shopping Center Deal
• SEC Should Bar No-Vote Share Structures, Committee Told
• Real Estate Rumors: Wharton, Columbia, Whole Foods
• Here Comes The Rule-Making Revolution
• Ex-Broker Tells Of Cover-Up Over Ex-Hunton Atty's Inside Tip
• MF Global Expert Relied On Old Rule In $2B PwC Fight
• Policy Limits Apply To Hospital System's Defense Claims
• REIT Host Hotels Inks $219M Deal For W Hollywood
• Dov Charney Urges Revival Of Hedge Fund Defamation Suit
• SEC Nominee Clayton's Ethics Filings Show Possible Conflicts
• Dewey, Patterson Trustee Fees Trimmed In Nortel Ch. 11
• Platinum Partners Exec Hit With Injunction In $1B Fraud Suit
• CDPQ, Suez Ink $3.4B Deal For GE's Water Biz
• Real Estate Rumors: Rissman, Moinian, Paramount Miami
• 9th Circ. Says Dodd-Frank Protects Non-SEC Whistleblowers
• Watchdog Says Icahn Disclosures Fall Short Given Trump Role
• 'Big Short' Adviser Brings ALJ Challenge To DC Circ.
• Eliminating The Accredited Investor Concept Is Problematic
• Issues To Expect In A Title III Puerto Rico Restructuring
• Bharara Snags 1st Muni Bond Securities Fraud Conviction
• Ex-BigLaw Atty's Pfizer Tip Shared Among Friends, Jury Told
• Highland Seeks Revival Of Credit Suisse Deceptive Loan Fight
• 2nd Circ. Tolling Ruling Strains Courts, CalPERS Tells Justices
• MF Global Tells Jury $2B PwC Botch Killed The Company
• SEC Partly Settles With Texan In Fake Investment Pitch Case
• Northern Trust Escapes ERISA Suit Over Benefit Changes
• QIC Closes $1.78B Infrastructure Fund
• Shkreli, Ex-Katten Atty Should Not Split Trial, Feds Say
• Tilton, Patriarch Partners Seek To End Zohar Funds' Suit
• Madoff Investors' $65B Suit Against Picower Tossed In NY
• SEC Bolsters Suit Over 'Hamilton' Ticket Ponzi Scheme
• Real Estate Rumors: Rauxa, Blackstone, Prologis
• High Court Urged To Limit SEC Disgorgement
• Brookfield To Shell Out $2.5B For SunEdison Yieldcos
• Goldman Investors Say 2nd Circ. Ruling Backs Abacus Case
• Compliance Tips For Robo-Advisers As They Take Spotlight
• Ex-BigLaw Partner Tells Jury He Wouldn't Break Law For $15K
• Ill. Appeals Court Affirms Vacation Pension Provision Repeal
• Deals Rumor Mill: Deutsche Bank, Stada, Zhong An
• Chancery Holds Unresponsive Chinese Tech Co. In Contempt
• CFTC Hires Ex-Proskauer Rose Atty As General Counsel
• Stillwater Settles With Holding Cos. In $50M RE Suit
• Investors Want Icahn's Federal-Mogul Takeover Appraised
• Feds Lack Proof To Back $230M Tax Fraud Suit, Prevezon Says
• Ex-Stanford Exec Says Attys Botched 20-Year Sentence
• US Bank, Investors Battle Over Certification In RMBS Suit
• US Bank Fights Would-Be Class In $6.7B RMBS Suit
• Split DC Circ. Denies Injunction In CFPB Challenge
• PTAB Upholds Juxtapid Patents In Hedge Fund Challenge
• Standard Life Puts Final Touches On $4.7B Aberdeen Buy
• Cleary Gottlieb Steers Deutsche Bank's $8.5B Capital Raise
• Data Analytics Now Cost-Effective For Smaller Firms
• NY Appeals Court Hands TCW Win In $128M RMBS Suit
• Galleon Founder Can't Ditch Insider Trading Sentence
• 9th Circ. Won't Revive Claims UBS Plundered Secret Accounts
• Ariel Investments Competitor Needs New Name, Court Rules
• Taxation With Representation: Morrison, Choate, Orrick
• Judge Muzzles MF Global On PwC 'Public Watchdog' Role
• Financial Co. Says $20M Post-Arbitration Suit Belongs In Calif.
• Using The SAFETY Act To Comply With NY Cyber Rules
• Don't Underestimate The Value Of An Internal Audit
• Manatt's $7M Fee Win Can't Stand, ECC Tells Calif. Court
• Merrill Didn't Burn Client In 2009 Stock Sell-Off, 6th Circ. Says
• Finance Guru Cops To Fleecing Rich Clients, Looting Trusts
• SEC Disgorgement Is Time-Barred, Supreme Court Told
• Electrolux Broadens Its Food Biz With $108M Grindmaster Buy
• Texas Oil Ponzi Schemer Gets Nod For 7-Year Plea Deal
• SEC Limits Whistleblower's Award Over Culpability, Delay
• Ashford REIT Buys $97M Napa Hotel After Blocking Activists
• Judge Says High Court Bars $17M Eminence Short-Swing Suit
• Tier REIT Sheds Last Philly Property In $95M Deal
• New Business Opportunities In Shared Workspaces
• Madoff Figure's $20M Deal With Calif., Investors OK'd
• Trump Pulls CFTC Nominations For 2 Obama Picks
• Bank's Brass Beats Derivative Suit Over Steep Stock Loss
• Hard Rock Leads Buyers Of Trump Taj Mahal From Icahn
• Feds Rip 1MDB Trusts Over Late Filings, Deny Intimidation
• Defunct Trader Can't Vacate $5M CBOE Arbitral Award
• Deals Rumor Mill: Sinclair, Brookfield, Time
• Hartford Financial Beats Suit Over Management Fees
• Dream Global REIT To Raise $75M In Share Sale
• Why Puerto Rico Will Likely Rely On PROMESA Title III
• Real Estate Rumors: Oxford, Hickory Farms, Silver Lake
• Labor Department Moves To Delay Fiduciary Rule
• Attys Request $8.8M Fees In Barclays Forex Rigging Case
• Alternative Asset Manager Hamilton Lane Prices $190M IPO
• FINRA Settlement Bars Broker For Unauthorized Trades
• SEC Freezes Assets In SoftBank-Fortress Insider Trading Row
• Marathon Petroleum Sends Assets To MLP For $2B
• Down To 2, SEC Moves To Modernize Reporting Rules
• Former NFL Player, Banker Get 6 Years For Ponzi Scheme