Asset Management Archive » July, 2017

Asset Management - July, 2017

307 articles

• Chicago-Area Hotel And Convention Center Files For Ch. 11
• FINRA Panel Lets Fidelity Off Hook In Client Account Row
• Puerto Rico Gov't Blasts Request For Committee Shakeup
• SEC Won't Stay Tilton Case While Justices Weigh ALJ Review
• SEC Still Weighing Controversial Confidential ETFs
• SEC Fines Brokerage Firm, Restricts Penny Stock Deposits
• Judge Hands $2.3M Verdict To Tuna Farmer In Antitrust Fight
• Real Estate Rumors: Blackstone, AEP Charter, Forest City
• Goldman Sachs Brass Push Back On Excessive Pay Claims
• SEC Says Brokers Made $1.7M Lying To Federal Employees
• Judge Trims Counterclaims In Italian Soccer Club Row
• UBS On Its Own For Debt Bonds Defense, Insurers Say
• T. Rowe, Funds Fight Valeant's Bid To Kill Stock Drop Suits
• DLA, Freshfields Steer €70M Deal For Madrid Food Market
• Clariant Taps New Adviser As Activist Threatens $20B Merger
• Why The CFTC's New Use Of NPAs Is Significant
• Cybersecurity Risks In The Courtroom
• Spirit Aero Investor's Short-Swing Profit Suit Beats Dismissal
• Shkreli Called A 'Con Man' As Fraud Case Heads To Jury
• Bids For More Puerto Rico Creditor Committees Under Fire
• MSRB Says Underwriters Need Independent Attys
• CPPIB Provides $328M Credit Facility To Mall Owner Intu
• Del. Chancery Rejects Genworth Investors' Discovery Bid
• Late Word Of Family Tie Irks Judge In GFI Sale Price Action
• FINRA Fines Deutsche, Others $4.8M For Supervision Failures
• Allied Properties Buying Stake In $225M Vancouver Project
• Trump Admin. To End Obama's Retirement Accounts Program
• Gramercy Property Invested $220M On Industrial Buys In Q2
• Be Careful What You Share With Your Local Regulator
• Gray Matters: Clients Are Not Really 'Emotional'
• Colgate Retirees Get Class Cert. In Denied Benefits Row
• Feds Call Shkreli A Liar As Defense Denies Any Fraud
• National Events Creditor Nabs Remaining Assets, Ch. 7 Looms
• Del. Vice Chancellor Presses Innoviva On Proxy Deal Drop
• Regulators Focused On Bad Actor Brokers
• U Of Puerto Rico Plan Trustee Wants Clarity On Asset Transfer
• 2nd Circ. Denies Ex-Lehman Trader's Bid For $85M Bonus
• 2nd Circ. Saves FXCM 'Flash Crash' Case Over New Evidence
• REIT Sunstone Drops $175M On Key West Hotel
• SEC Gives Noncompliant Whistleblower A $1.7M Award
• Chicago 'Mini-Madoff' Gets Nearly 6 Years In $1.7M Fraud
• Issuers On Notice After SEC 'Coin Offering' Report
• Goodwin Procter Adds Ex-Simpson Thacher Tax Pro In Calif.
• Rising Star: Shearman & Sterling's John Reiss
• Prosecutors, NJ Hedge Fund Owner Clash Over Dismissal Bid
• Biz Groups Say Piwowar's Letter Backs Nixing Fiduciary Rule
• CFTC LedgerX Approval Is A Big Step For Bitcoin
• Petrobras Renounces 2nd Circ. 'Preference' For Class Cert.
• Having A Chief Privacy Officer Reassures Your Firm's Clients
• Record Number Of Securities Class Actions Filed In 2017
• FINRA Promotes Acting Enforcement Chief In Reorganization
• Ticket Co. 'Insider' Ripped For Payout Bid Amid Ponzi Claims
• SEC Settles Claims Of Compliance Fails At Adviser's 2 Firms
• SEC Program Raises Ethics Issues For Atty Whistleblowers
• Analyst Gets 45 Months For Insider Trading On ADT Buy
• Franklin Templeton ERISA Class Certified In Self-Dealing Suit
• How The PSLRA Reshaped The Rush To The Courthouse
• Shkreli Loses Bid To Nix Charges After Resting Case
• UBS Can't Get Injunction Against Former Consultants
• Innovating For Wise Juries: Discussions Before Deliberations
• Rising Star: Debevoise & Plimpton's Andrew Ahern
• Jay Clayton's Enforcement Philosophy
• UK Financial Watchdogs Expand Senior Manager Rules
• SEC Chief Pans Fiduciary Rule In Letter To Labor Dept.
• 'Digital Assets' May Need To Be Registered, SEC Warns
• Clearwire Ruling Shines Light On Appraisal Arbitrage Risks
• 'Mini-Madoff' Says 3-Year Sentence Would Be More Like It
• Shkreli Slams Katten Atty In Emails, As Trial Wraps Up
• Government Tipster Gets $2.5M SEC Whistleblower Award
• Chinese Co. Takes BP Asset Sale Row To Federal Court
• Ex-Adviser Cops To Trading Scheme With Ex-Hunton Atty
• Barnes & Noble Urged By Activist Sandell To Mull Sale
• Libor Trader Waives Conflict To Keep Paul Hastings Team
• Banks Say Top Court Ruling Cuts Against SIBOR-Rigging Suit
• Real Estate Rumors: Walter DeFortuna, TIAA, Wells Fargo
• Clearing Firm Pays FINRA Fine Over Supervisory Failures
• TA Realty Sheds Industrial Portfolio In $201M Deal
• Rising Star: Debevoise & Plimpton's Jonathan Adler
• AkzoNobel Plans Shareholder Meeting Amid Activist Pressure
• Pay-To-Play Rules Are Here To Stay
• 5 Questions Firms Should Ask When Evaluating Litigation AFA
• For Law Firm Offices, Business Savvy Is The New Cool
• Fiduciary Rule's Impact On IRA Annuity Recommendations
• Barclays Forex Rigging Settlement Nets $8.75M In Atty Fees
• LedgerX First To Get CFTC Approval For BitCoin Trading
• 8th Circ. Says ICA Won't Allow Retirement Plan's Fee Suit
• Equus Investor Fights Bid To Toss Equity Perk Suit
• SEC Says Broker-Dealer Can't Ditch Suit Over 'Layering'
• Puerto Rico Bondholders Seek Seat On Creditor Committee
• Shkreli Says He Won't Take Stand At Securities Fraud Trial
• PwC Beats ERISA Challenge To Retirement Plan's Terms
• JPMorgan Sues Former Employees For Poaching Customers
• Petrobras Seeks To Expand 2nd Circ. Win In Investor Suit
• Ex-Barclays Trader Banned From Banking For Unsafe Actions
• Partners Group Buys IT Services Firm Civica In $1.3B Deal
• Elliott Wants Vote On AkzoNobel CEO, Info On Co.'s Plans
• SEC Orders Exchanges To Rethink Audit Trail Fees
• PNC Bank Can't Duck New ResCap Loan Claims
• Ex-Simpson Thacher Clerk Fights SEC's $2M Penalty Bid
• Starhill Global REIT Scores $514M In Credit Facilities
• Rising Star: WilmerHale's Gretchen Passe Roin
• How To Avoid Portfolio Co. Valuation Risks
• The Best Documents In Your Case May Be From 3rd Parties
• Prologis' Japan REIT Issuing $305M In New Units
• Planning A Legal Career With A Future Relocation In Mind
• The Best Law Firms For Female Partners
• Could An NFL Diversity Rule Be A BigLaw Game-Changer?
• Women See Another Year Of Slow Gains At Law Firms
• BigLaw Bias Suits New Wild Card In Fight For Gender Equity
• 4 Female Perspectives On BigLaw Leadership
• The Best Law Firms For Female Attorneys
• How 4 Firms Are Moving The Needle On Gender Diversity
• Feds' Shkreli Case Nears End, Amid Testy Exchanges
• SEC Cuts Dodd-Frank Mandates From Rule-Making Agenda
• Puerto Rico Pension Law Spurs Bondholder Suit Against US
• 2nd Circ. Backs Trader's $1.1M Unpaid-Wage Win, Adds Fees
• Chancery Appraisal Cuts Sprint-Clearwire Deal Price In Half
• Texas Judge Questions Arbitration For 'Indirect Customers'
• Biz Groups Continue 5th Circ. Attack On DOL Fiduciary Rule
• CEOs In Hot Seat As Activists Get Bold About Replacements
• SEC Fights To Keep Alive Suit Over $17M Stock Scheme
• Rising Star: King & Spalding's James Stull
• The Elephant In The Room: Advancing Women To Partnership
• How Midsize Law Firms Can Minimize Cybersecurity Threats
• Real Estate Rumors: Sephora, Liberty, Starwood
• Gov't Wants 'Serious' Prison Time For 26-Year-Old Fraudster
• KKR Joins Venture To Invest $117M In Spanish Real Estate
• Investors Say SeaWorld Can't Mark Every Doc Confidential
• UK Litigation Roundup: Here's What You Missed In London
• Shkreli, Gov't Embroiled In Investor Evidence Fight
• DeValerio Of Berman DeValerio Starts New Firm
• Ga. Trader And His 3 Firms Settle Fraud Claims With CFTC
• Entitled Insider Trader Deserves Up To 8 Years, Feds Say
• Kirkland & Ellis Lands Another Former SEC Official
• GOP Bill Would Change Bank Risk Designation Process
• SEC Says Asset Manager Overvalued Renewable Energy Co.
• SEC Fines Seattle Firm Over Conflicts Of Interest
• HFF Closes $127M Luxury Colo. Apartment Community Deal
• Real Estate Rumors: Beacon Capital, SL Green, AB Capstone
• Clayton Speech Signals New Tone At The Top
• Shareholder Proposal Trends In 2017 Proxy Season: Part 2
• Wells Fargo Advisors Seek Delay Of $3.5M Wage Deal
• Madoff Trustee Gets 2nd Crack At 2nd Circ. RBS Case Appeal
• Bid To Block Ch. 15 Recognition Scrutinized In Russian Case
• Shkreli Trial On Hiatus Over Gov't Evidence Gambit
• Brit Charged In $37M Bitcoin, Office Co. Scam Skips Court
• MF Global Insurer Loses Appeal Bid Over Bermuda Suit
• Renco Loses Challenge To Trustee's Sale Of $26.2M Stake
• Fintech Co. Wins Court-Ordered Access To Swap Servicer
• Trump To Nominate Hester Peirce As SEC Commissioner
• Shareholder Proposal Trends In 2017 Proxy Season: Part 1
• Virtus Real Estate Raises $408M For Latest Fund
• Innovating For Wise Juries: Matching Experts
• Ticket Reseller In Ponzi Case Can Sell Remaining Inventory
• Shkreli Vowed To Make Trader's Kids Homeless, Jury Hears
• Advisers Hope Rigorous SEC Exam Program Will Relax Soon
• Real Estate Rumors: GATX, Schlesinger, Triple Star Realty
• Goldman Sachs Pays FINRA $2.5M Over Options Reporting
• SEC Blasts Trader's Challenge To Its Cooperation Program
• Wider Stress Tests 'Inevitable' As BOE Looks Beyond Banks
• Fla. Businessman Jailed For Tax, Bank Fraud Schemes
• Dream Global REIT Pays $719M For 135 Properties
• The BVI's Recent Beneficial-Ownership Efforts
• NY Bankruptcy Judge Strikes MF Global Insurer's $15M Bond
• The Rise Of Midsize Firms
• SEC's Emerging Enforcement Priorities In The Bond Markets
• 5 Questions To Ask Yourself Before Submitting Litigation AFA
• Shkreli Investor Irked By Loss, But Then Cashed In Big
• DC Circ. Gives Investors 2nd Chance At Fannie Claims
• BNP Paribas To Pay $246M More For Bad Forex Compliance
• Activist Investor Trian Readies P&G Proxy Fight
• Lenders Say Lehman Mortgage Row Not For Bankruptcy Court
• SEC Says NYSE Can't Let Market Makers Trade Pre-Close
• Trader Eyed For Libor Fraud Set To Keep Paul Hastings Team
• Banks Say Bond-Rig Claims Are Too Narrow, Vague To Survive
• ALJ Appointments Issue Now Primed For High Court Review
• How Mobile Apps Can Benefit Your Practice
• German Publisher Axel Springer Sells 2 Buildings For $866M
• Defendants May Come To Regret This High Court 'Victory'
• Proposal To Remedy Horizontal Shareholding Is Flawed
• The Future Of Litigation Finance Is Analytics
• FCA Launches Probe Into £592B UK Online Investment Market
• Law360 Names Top Attorneys Under 40
• Retrophin CEO Was Told Of Shady Shkreli Deals, Jury Hears
• Moody's Warns Challenges Ahead For Ill. Despite Budget
• Wells Fargo Settles Financial Advisers' Wage Suit For $3.5M
• Split SEC Dismisses Case Against Ex-Wells Fargo Trader
• Unsecured Creditors Challenge $43M Of Limitless Mobile Debt
• Mast Capital Joint Venture Pays $72M For Conrad Miami Hotel
• UK REIT Announces Planned £110M Offering To Fund Deals
• Del. Court Won't Disturb TIAA Class Action Coverage Verdict
• Cayman Consortium Makes $11.6B Offer For Global Logistics
• Democratic Lawmakers Urge Mnuchin To Push IRA Alternative
• Investment Analyst Fights 'Harsh' Insider Trading Sentence
• Cobalt Wants Redo Of Class Cert. In Investors' Bribe Case
• Petrobras Does Little To Clarify Class Ascertainability
• Trade Groups Kept Out Of Lehman's $1B Bank Clawback Fight
• 6th Circ. Says State GOPs Lack Standing In MSRB Rule Row
• Draft Bill To Repeal Fiduciary Rule Attracts Industry Support
• Shkreli Like The Pied Piper, Retrophin CEO Tells Jury
• Investor Says AMRI's Go-Private Deal Docs Short On Details
• NY Court Has Jurisdiction For Rate-Rigging Suit, Funds Say
• 3 Firms Steer Investcorp-Esmalglass-Lone Star $689M Deal
• NY Businessman Loses $1.3M IRS Refund Bid
• Wells Fargo Gets Quick Win In Suit Over CDO Asset Auction
• Where AI Meets Cybersecurity And The Legal Profession
• REIT Rexford Industrial Pays $72M For 3 Calif. Properties
• Looking At The EU Market Abuse Regulation 1 Year Later
• Shkreli 'Absolutely Stunned' Chairman With Lie
• FINRA Fines State Street, Acorns $2M Over Record Keeping
• SEC Chairman Questions Disclosure Rules, Compliance Costs
• MF Global Says Insurer's $15M Bond Post Remains Defective
• Justice Breyer On Changing His Mind And Sparring With Scalia
• $51M Deal Ends Long-Running Oppenheimer Junk Bond MDL
• Shell Sells $1.23B Irish Gas Venture Stake To Pension Board
• Bank Of England Weighs Widening Stress Tests To Nonbanks
• The SEC's New Enforcement Tool?
• Investor Recovery Strategies Following ANZ Securities
• Innovating For Wise Juries: Interim Arguments
• Unstructured Data Is Just The Tip Of The Iceberg
• Valeant, Pershing, Investors Battle For Quick Wins In Suit
• Justice Breyer On The Limits Of Presidential Power
• Petrobras Ruling A Mixed Bag For Investors
• UBS, HSBC Pen $28M Settlement In Swaps-Rate Class Action
• Shkreli Fund In The Red, Jury Told, As He Boasted Of Millions
• Getty Realty Unveils $94M Stock Offering, $70M Property Deal
• UAE-Backed Oil Co. Explores Partial IPOs Of Biz Units
• Group Sues To Stop Malaysian Fund From Paying $1B Deal
• Petrobras Strikes Heavy Blow Against Use Of Event Studies
• 5 Questions To Ask Firm Before Accepting A Litigation AFA
• Mass. Judge Delays Ex-State Street Exec's Fraud Trial
• Renco Says Poisoning Suit Relates To New Peru Arbitration
• Shkreli's Focus Reminds Investor Of The 'Rain Man'
• Teachers Sue Puerto Rico Over Fiscal Plan Budget Reductions
• CFTC Compliance Proposal For CCOs Draws Praise, Concerns
• Takeaways From 2nd Circ.'s Petrobras Ruling
• CFTC Announces Review Of Swap Reporting Rules
• Ex-Nikko Asset CEO Part Of $50M Suit Against Current Chief
• 2 Commercial REITs Advance IPOs Surpassing $325M
• Platinum Will Get SEC Docs While Criminal Case Advances
• American Airlines, Ex-Affiliate Agree To $22M ERISA Deal
• Why You Should Argue Your Appeal
• Reuters Loses Appeal To Publish Story On Brevan Howard
• 6 Ways Teaching A Law School Class Can Benefit Lawyers
• Assessing The EU's Revised Shareholder Rights Directive
• Judge Boots Platinum Receiver Over Escrow 'Red Flag'
• SEC Wants 'Layering' Called Fraud, Defends Asset Freeze
• Sidley, Deloitte, Others Can't Skip $350M Ponzi Scheme Suit
• UK Litigation Roundup: Here's What You Missed In London
• Taxation With Representation: Kirkland, Gibson, Goodwin
• 2nd Circ. Nixes Rakoff's Certification Of Petrobras Investors
• Broker Who Copped Plea In $131M Stock Scam Gets 1.5 Years
• Care Capital Hit With Shareholder Suit Over $7.4B Merger
• AARP, Worker Group Defend Fiduciary Rule At 5th Circ.
• 8th Circ. Won't Revisit 3M's Ponzi Coverage Loss
• MF Global Insurer Fights Default Bid Over $15M Bond Payment
• Deals Rumor Mill: Elliott Management, Stada, Kind
• Real Estate Rumors: Prologis, China Vanke, Tahoe Estate
• Vacated Citigroup Award Can't Be Enforced, NY Court Says
• Feds Blast Ex-Stanford Exec's Bid To Ditch 20-Year Sentence
• SEC Poised To Turn Cybersecurity Focus Into Enforcement
• Skadden's Familiarity With Yahoo Key In Closing $4.48B Sale
• IOSCO Weighs Liquidity Risks From Asset Management Sector
• 2nd Circ. Won't Rehear Madoff-Trustee Calculation Row
• Lehman Judge Signs Off On MBS Claims Estimation Deal
• Ex-Analyst Tells Of 'Depressed' Shkreli After Fund Implosion
• F-Squared Trustee Sues Ex-CEO Over 3rd-Party Algorithm
• Emails Remain Missing In Case Against NJ Hedge Fund Owner
• Simpson Thacher Guides Blackstone In Showroom REIT Deal
• High Court Takes Up Forum Shopping In Securities Cases
• Thrivent Seeks Win After DOL Abandons Class Action Rule
• Ex-NBA Player's Adviser Barred From Top Roles In SEC Case
• Real Estate Rumors: Santander, Deka Immobilien, L+M
• Former State Street Exec Asks For Delay In Fraud Trial
• RAIT Financial Continues Sell Down With $73M In Deals
• Introducing Blockchain In The Syndicated Loan Market
• Trial Over Edison ERISA Suit Revived By High Court Begins
• American Realty Facing Investor Suit Over 2014 Swaps
• Justice Stevens On Gorsuch And Sticking With The Cubs
• Fla. Court Orders Arbitration In Ernst & Young Fraud Suit
• Shkreli Ordered To Shut Up About Securities Fraud Trial
• Valeant, Pershing Trying To Hide Behind SEC, Investors Say
• Real Estate Rumors: Newport, Acore, Standard Property
• DOL Drops Class Action Clause But Defends Fiduciary Rule
• Judge Invokes FINRA's Immunity In Ex-Brokers' Dispute
• New York Life Loans $185M To REIT AvalonBay
• FINRA Fines HSBC, Others $2.4M In Customer Records Row
• Barnes & Thornburg Adds Corporate Partner In Dallas Office
• Real Estate Regs, Legislation To Watch In The Second Half
• Labaton Sucharow Adds 4 Securities Litigators In NY, DC
• Greystar Fund To Buy Luxury Apartment REIT In $3B Deal
• Innovating For Wise Juries: Openings Before Voir Dire
• 5 Questions To Ask Client Before Proposing A Litigation AFA
• Supervisors Must Clarify Money Laundering Rules, FSB Says
• Justice Stevens On Playing Politics With The High Court
• Judge Tells Platinum Investors To Butt Out Of SEC Dispute
• Investors Sue Universal Health In Wake Of Fraud Probes
• Madoff Trustee Says Transferee Issue Can't End $2.2M Suit
• SEC Suit Over $17M Stock Scheme Time-Barred, Broker Says
• Lehman Throws Support Behind RMBS Settlement
• Ex-Exec Settles SEC Suit Over LED Lighting Co. Stock Fraud
• Feds Call Philly PE Firms A Ponzi Scheme, Bosses Indicted
• DLA Reps Oxford On Purchase Of Stake In $151M DC Building
• Raymond James' Background Check Violated FCRA, Suit Says
• Demise Of Disgorgement? Kokesh And Honeycutt In Tandem
• A Regulatory Bellwether: Forecasting Cyber Breach Litigation
• M&A Bankers Amp Up Disclosures Amid Chancery Crackdown