Capital Markets Archive » August, 2016

Capital Markets - August, 2016

257 articles

• AIG, Others Battle Hedge Funds For $500M BofA Payout
• Avalanche Aims To Ditch IPO Suit Over Eye Drug
• 2 Firms Grab Spotlight Amid Quiet August For IPOs
• Full 7th Circ. Won't Review $16.5M Centaur Ch. 11 Clawback
• Judge OKs Receivership Claims Process Tied To EB-5 Case
• RBC To Pay $2.5M For Proxy Statement Disclosure Violations
• Financial Planning Coalition Argues For DOL Fiduciary Rule
• HK Regulators Fine BNP Paribas Unit For Overcharges
• Labaton To Lead Class Action Over $173M Chip-Card Co. IPO
• Lehman Brothers Wants Billions In RMBS Claims Wiped Out
• Banks Say NovaStar Bankruptcy Halts $7.7B MBS Suit
• CAB Rules Won't Get Private Funds To Their Destination
• Reconciling The Practice With The Business Of Law
• Finance Reports Misleading, Ex-Miami City Manager Testifies
• Feds Seek To Quell Banks' Anti-Money Laundering Fears
• SEC Says Depositions Of Stifel Execs Are Allowed At Trial
• First Southwest Balks At Deal Over Schilling's 38 Studios
• 'Unicorn' Tech Co. Nutanix Buys 2 Startups
• Biz Defendants In EB-5 Suit Urge Denial Of Contempt Motion
• CFTC Floats Slew Of Changes For Whistleblower Program
• PE-Backed Nashville Bank CapStar Files $46M IPO
• LogRhythm Nabs $50M In Financing After Deciding Against IPO
• Report On Post-Volcker Rules Coming Soon, FDIC Chief Says
• REBUTTAL: Establishing Standards And Norms In Mediation
• SEC Tells Jury Miami Duped Investors With $38M 'Shell Game'
• Hungry SEC Enforcers Find Fertile Ground In Muni Bonds
• Metals Traders Cheated Investors, Judge Rules In CFTC Suit
• Caribbean Telecom Co. Digicel Scraps $1.8B IPO
• Top House Dem Asks Regulators For Volcker Rule Update
• Chinese Online Lender Hit With Suit Over Stock Drop
• Deals Rumor Mill: SunEdison, Ocean Link, QSR Brands
• HSBC Exec Denies Scamming $3.4B Forex Transaction
• Fed Wants $1.2M Fine, Ban For Ex-Barclays Forex Trader
• Martin Shkreli Sells Remaining Stake In KaloBios
• State Of Texas Legal Market: Litigation Trends
• 3 Cos. Boost IPO Pipeline With $250M In New Filings
• SEC Slaps Calif. Waste-To-Construction Co. With Fraud Suit
• India To Let Banks Issue Masala Bonds To Foreign Investors
• Defining Attorney-Client Relationships In The Electronic Age
• State Of Texas Legal Market: It Isn't Just About Oil
• SEC Signals Approval Of MSRB, FINRA Pay-To-Play Rules
• Options Clearing Corp. Weighs In On Capital Plan Challenge
• IPO Row Belongs In Calif. Court, Investors Tell High Court
• UK Deal Makers Hope For IPO Rebound As Brexit Fears Subside
• SEC Continues To Solicit Public Comment On Disclosure Regs
• Global Houses, Exchanges Probing Blockchain Opportunities
• NJ Agency OKs $1B Bonds For Delayed Meadowlands Project
• Deals Rumor Mill: Alibaba Group, SunEdison, GfK
• MoFo Looks To Deep-Six Malpractice Suit Over Coal Co. IPO
• PE Magnate Tilton Loses Bid For SEC Review In Fraud Case
• Trading Platform MarketAxess Moving To Hudson Yards Tower
• 4 Reasons Law Firm Business Development Initiatives Fail
• Latham-Led Novan Files $60M IPO To Boost Acne Drug
• 2nd Circ. Ruling Doesn't Apply To Forex MDL, Court Told
• Haneberg, Williams Mullen Steer Wheeler REIT's $100M Shelf
• 2nd Circ. Won't Reconsider Ex-S&P Exec's SEC Challenge
• Toronto Exchange Owner Funds New Tech Growth Group
• Blank Check Co. Files $200M IPO To Pursue Media Deals
• Tesla CEO Helps Finance SolarCity $124M Bond Offering
• SEC Charges 71 Municipal Bond Issuers For Faulty Disclosure
• Judge Won't Let Chicago Trader Escape CFTC Spoofing Case
• 4 Major Banks Launch Digital Currency Blockchain Project
• Merger Privilege Claims Snarl ETE Unit-Offer Class Fight
• RI, Banks Strike $25M Deal In Row Over MLB Star's Startup
• Credit Suisse, Others Freed From ERISA-Tied Forex Suit
• GE Account In Class Share Flip Fight Called 'Unsatisfying'
• Natixis Says Suit Over $400M In RMBS Losses Is Too Late
• 2nd Circ. Rebuffs Lynn Tilton Again On SEC In-House Fight
• CFTC Settles Charges With False Commodity Pool Operators
• Tech Startup Trade Desk Files $86M IPO
• Crown Castle Prices $700M Bond To Pay Down Debt
• Indian Stock Exchange Picks Banks, Law Firm To Lead IPO
• 4 Apollo PE Advisers Pay $52.7M To Settle SEC Charges
• Looking For Balance In Principle-Based Reserving
• CME Group Suspends Trader For Spoofing Gold, Gas Futures
• From BigLaw To Your Own Firm: 4 Tips For Legal Startups
• SEC Settles With Ex-Fannie Mae CEO, Ends Subprime Suit
• Canada Watchdog To Study If New Rules Help Fund Investors
• Shearman Leads Indian Co. On Landmark $500M Green Bond
• 3 Companies Reboot IPO Pipeline With $255M In New Filings
• Food App Founder Dismisses Investors' 'Seller's Remorse'
• Bowie Resource Partners Pulls IPO, Citing Market Conditions
• 4 Communications Fundamentals For High-Stakes Litigation
• $7.6M Oil Investor Settlement Wins Over Skeptical Judge
• SEC Tosses Enforcement Claims Against Bank Exec
• Northstar Fights For Revival Of Schwab Fund Suit
• Forex Dealer Dodges Investor Suit Over Swiss Franc Losses
• Nasdaq Extends Surveillance Deal With Brazilian Exchange
• 4 Mistakes To Avoid After Your IPO
• Energy-Focused SPAC Stellar's IPO Hits Decreased Target
• CFTC Sues Forex Capital Markets Over Past Capital Shortage
• Risk Management Tips For Attys Serving As Local Counsel
• SEC Agrees To Ease Regs For Capital Acquisition Brokers
• PE-Backed Retailer Aritzia Files Rare Canadian IPO
• ICE Rebuts UK Watchdog Concerns Over Trayport Deal
• CFTC Sues Deutsche Bank Over Swaps Reporting Failures
• Funding For VC-Backed Fintechs Drops Amid Global Turmoil
• Aluminum Price-Fix Case No Guide To Silver Row, Atty Says
• Blockchain: Why It Matters For Financial Services Lawyers
• Morgan, Others Say Needed Data Shared In Rate-Fixing Suit
• HK Market Unveils Volatility Controls To Stem Price Swings
• SEC Bars Mass. Adviser Who Copped To Stealing IPO Dollars
• Judge Won't Throw Out SEC Case Over EB-5 Investors
• Feds Say Convicted Spoofer Unlikely To Prevail On Appeal
• Beware The 'Standard' Mediation Confidentiality Agreement
• PE-Backed Inc Research Unveils $204M Secondary Share Sale
• S&P Urges Transparency In Banks' Plans To Weather A Crisis
• UK Antitrust Agency Challenges ICE's $650M Trayport Deal
• SEC Agrees To Take Another Look At Nasdaq, NYSE Pricing
• New Biz Continuity Obligations For Investment Advisers
• Investors Says Deutsche Knew Securities Were Bad
• CVC To Exit Chemical Co Univar In $398M Stake Sale
• CFTC Finds No Need To Change Cross-Border Swap Rules
• Bank, Brokers Push To Escape Yen Libor-Rigging Suit
• CFTC Sues Vendor Of Automated Futures Trading Software
• Stifel Blasts SEC Bid To Limit Ex-Agency Director's Testimony
• Banks Say 2nd Circ. Ruling Dooms Metal, Forex Antitrust Suits
• Energy-Focused SPAC Stellar Downsizes IPO To $65M
• MGM Resorts Ups Stake In China Arm, Primes $500M Bond Sale
• Ex-Nomura Trio Wants Jury To Hear About Industrywide Fibs
• Ex-Goldman Trader Pays $400K To Settle RMBS Fraud Charges
• Chinese Regulators OK Shenzhen-Hong Kong Trading Link
• Thin IPO Pack Gets Thinner As Buyers Gain More Leverage
• Hospitality Properties Trust Prices $338M Offering
• SEC Eases Up On Enforcement Actions In 2016
• New ISS Policy Affects IPO Co. Director Elections
• 5 Mistakes To Avoid When Building Law Libraries
• SEC Dubs Atty's Pump-And-Dump Defense 'Thought-Dumping'
• SEC Fears Manipulation In Neuromama Stock, Halts Trades
• Vinson & Elkins Scoops Up Corporate Tech Partner In Austin
• Investors Seek Regulatory Data In Bank Rate-Fixing Suit
• World Economic Forum Forecasts Blockchain Revolution
• Hong Kong Starts Clearing Service For Cross-Currency Swaps
• Liberty Media Prices $444.6M Bond To Help Fund Acquisitions
• A Key Victory For SEC In Battle Over Administrative Courts
• Polsinelli Guides Oil Co. PetroShare In $27M IPO Plans
• Scottsdale Tells 4th Circ. FINRA Can't Dispute Overreach
• Proposed IRS Rules Would Limit Section 355 Distributions
• Law Students Should Explore BigLaw Pro Bono Options
• JPMorgan's $4.5B RMBS Investors Deal Gets Judge's Nod
• Amira Foods Investors' Class Action Over $90M IPO Tossed
• Immigration Regulations To Watch Before Obama Exits Office
• Precious Metals Trader Ordered To Pay $9.9M In CFTC Case
• Moody's Urges High Court To Hear MBS Ratings Fraud Suit
• Skadden, Sidley Steer New Residential's $284M Offering
• Gambling Co. Asks 7th Circ. To Rehear Safe Harbor Decision
• REIT Spirit Realty Prices $300M Debt Offering
• SEC Wants Business Defendants In EB-5 Suit Held In Contempt
• Calif. Pair Faces Insider Trading Charges In Biotech Scheme
• International Cartel Stats: A Look At The Last 26 Years
• CTFC Exempts Federal Reserve Banks From DCO Liabilities
• Punching Above Your Weight: Minority Investments In PE
• Appeals Court Revives RMBS Claims Against Morgan Stanley
• Morgan Stanley Can't Escape RMBS Fraud Claims in Appeal
• Beazley To Appeal Excluded Coverage Of Facebook IPO Suit
• CFTC Stands Behind Penalties Over Money Pass Scheme
• Steptoe & Johnson Extends Reach Of Blockchain Practice
• Blackstone Reaps $1.2B From New York REIT Sale
• Why The Government's Wall Of Secrecy Must Fall
• Deals Rumor Mill: IVG Immobilien, Investcorp, FIMI
• Sugar Co. Claims Citibank's Currency Deals Cost It $64M
• Duke Prices $3.75B Bond To Help Fund Piedmont Acquisition
• SL Green Sells $480M Building Stake, Plans $1B Buyback
• Clinton Says She'll Move Beyond Dodd-Frank's Bank Rules
• PE-Backed Medpace Soars Among 2 IPOs Totaling $251M
• SEC Names New Co-Head Of Investment Adviser Exams
• Crackdown On Money Laundering In Real Estate Is Expanding
• Simpson Thacher Adds Ex-Covington Banking Regulatory Pro
• Etsy Still Eying End Of IPO Suit
• Alleged EB-5 Scammer Says SEC Fraud Suit Lacks Detail
• China OKs Brokerage Firm's Plans To Sell 1.2B Shares In HK
• First-Half Volatility Shrunk Hong Kong Securities Trading
• Bond Orgs Ask SEC For Clarity On Disclosure Requirements
• Deals Rumor Mill: Jeld-Wen, Samsung, Entertainment One
• 15 Banks Tackle Trade Finance With Blockchain Tech
• Milbank, Latham Guide MGM Growth's $500M Notes Deal
• 2 Cooley-Led Biotechs Price $920M In Follow-On Stock Sales
• Code-Based Fund — The Future Of Startup Funding
• DOL Fiduciary Rule: Real-World Applications And Effects
• SEC's Big DC Circ. Win Won't End In-House Clash
• NJ Agency OKs $1B Bond Plans For Meadowlands Project
• Venture Dip Has Experts Pondering How Long Slump Will Last
• PE Shop Again Trims Wingstop Stake In $175M Secondary Sale
• Writing Arbitration Clauses To Get The Arbitration You Want
• Dominion To Sell $1.25B In Stock To Help Fund Questar Buy
• Kennedy Wilson Plans $200M Debt Offering
• Big Banks Back Shell Companies Transparency Bill
• Deutsche Bank Wants Toss Of Remaining Securities Claims
• SEC Wins 1st Appellate Ruling On In-House Constitutionality
• Spotlight On 'Shadow Banking'
• Nomura Traders, Gov't Feud Over 'Victim-Blaming' Evidence
• Trump's Econ Speech Leaves FinReg Questions Unanswered
• Forex Investors Say Dealer's Model Riskier Than It Claims
• $300M State Street Settlement Gets Early OK
• Goldman Sachs Provides $50M Pre-IPO Funding To Kaltura
• Deutsche Bank Pays $12.5M Over Lax Customer Info Controls
• Chinese Brokerage Giant Seeks $1B Hong Kong IPO
• Facebook Urges 2nd Circ. To Partly Reverse IPO Settlement
• SM Energy To Pay $980M For Rock Oil's Midland Basin Assets
• Barclays To Pay $100M In Multistate Libor Settlement
• Tips For Upsizing And Downsizing An IPO
• Venture Financing Continues To Slide For Private Companies
• Wells Fargo Can't Escape SEC Suit Over Bond Offering
• Deliveroo Raises $275M In Food Delivery Service Funding
• SEC Says Hands Were Tied With Clearinghouse Capital Plan
• Feds Pile More Charges On Trader Over $9M Ponzi Scheme
• 4 Firms Poised To Steer IPOs Totaling $270M
• 5 Open Questions On Risk Retention
• A Review Of Key Criminal Cases Against Execs In Q2
• Tax Reform Advocates Bash Republicans' Anti-TPP Effort
• SEC Claims Over Atty's $1.1M EB-5 Fraud Specific Enough
• 2nd Circ. Says Citi Investors Can't Recoup $800M RMBS Loss
• It's Time To Loosen The Limitations On BDC Investors
• 9 Tips For Becoming A Legal Pundit In The Media
• BNP Spinoff, PE-Backed Retailer Price IPOs Totaling $615M
• Three Firms Steer Columbia Property's $350M Notes Offering
• ETE Unit-Offer Challengers Want Court To Order Doc Release
• Dual-Listed IPOs Carve A Small But Steady Niche
• LSE Warns Brexit Turmoil Could Damage Trading Volume
• Ackman's Pershing Readies Sale Of Canadian Pacific Stake
• Law Firm Employees Can Better Defend Against Cyberthreats
• 7th Circ. Limits Section 546(e) Safe Harbor
• Convicted Chicago Spoofer Wants Bail During 'Novel' Appeal
• Judge Tosses Investors' Suit Over $140M ConforMIS IPO
• Quinn, Cohen Named Interim Lead Counsel In Swaps Suit
• FINRA Challengers Must Face SEC First, SEC Tells 4th Circ.
• SEC Says Bid To Toss $350M EB-5 Suit Built On Errors
• INC Research Investors Prime $210M Secondary Offering
• Allen & Overy Takes On Team Of 5 In Leveraged Finance
• 6 GOP Pols Warn Against Lame-Duck TPP Vote
• About $70M Stolen From HK Bitcoin Exchange
• NextEra Sells $1.5B In Equity Units For EFH Buy
• SEC Blasts Ex-Director's Report Ahead Of $200M CDO Trial
• Warburg Pincus Denies Causing Rural/Metro Investor Losses
• AIG, Prudential, Dozens More Get Breather On Living Wills
• Nasdaq Reports Boom In Private Company Share Sales
• Pillsbury Nabs Corporate Transaction Pro From DLA Piper
• Gray Financial, Hill Seek 11th Circ. Do-Over On SEC Courts
• Gov't Sues Gambling Co. Founder For $56.5M IPO Tax Bill
• Law Firm, EU Financial Group Design Bail-In Contract Model
• Sweden Forms Commission To Analyze Crowdfunding Market
• Microsoft Inks $19.75B Mega-Bond To Fund LinkedIn Buy
• A Midyear Review Of 2016 Securities Enforcement
• 2 Firms Lead Choppy IPO Month Boosted By Tech Megadeal
• Advent Takes 50% Stake In Biopharma Services Co. InVentiv
• Research Group Pushes Reforms To End 'Rigged' Markets
• LSE Lists First Rupee-Denominated 'Masala' Bond At $450M
• SEC Gives Itself More Time To Consider Audit Plan
• UBS Dodges Suit Claiming It Hid Faults In $1.1B MBS Pool
• London Financial Research Firms Merge For Compliance Boom
• Technology Crossover Ventures Closes $2.5B Fund
• Trader Settles CFTC Software Fraud Suit For $1.5M
• Microsoft Primes Bond Offer To Fund $26.2B LinkedIn Buy
• EU Seeks Suggestions On Untangling Banking Legislation
• K&L Gates Adds Partner To Finance Practice In London
• BigLaw's (Crowded) Passage To India?
• Inside SEC's New In-House Court Rules