Capital Markets Archive » July, 2017

Capital Markets - July, 2017

272 articles

• 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
• ETE Units Dispute Sees More Claims Slated For Del. Trial
• UBS On Its Own For Debt Bonds Defense, Insurers Say
• 15 Years Of SOX: The WorldCom And Enron Securities Cases
• HSBC, ICAP Cut From Interest Rate Swaps Antitrust Suits
• Investment Fund Wants Review Of Doc Order In HSBC Fight
• Why The CFTC's New Use Of NPAs Is Significant
• Cybersecurity Risks In The Courtroom
• SIFMA Backs Banks' Cert Bid In FDIC's $140M Mortgage Suit
• Banks Say New Precedent Dooms Swiss Franc Libor Suit
• Morgan Stanley, Banks Ink Deals Worth $111M In Forex Suit
• Real Estate Co. Redfin Rakes In $138.5M In Above-Range IPO
• Bids For More Puerto Rico Creditor Committees Under Fire
• MSRB Says Underwriters Need Independent Attys
• OCC Says State Regulators' Fintech Suit 'Fatally Premature'
• FINRA Fines Deutsche, Others $4.8M For Supervision Failures
• Trump Admin. To End Obama's Retirement Accounts Program
• Surprise Debt Rule Tweak Threatens EU Securitization Reform
• Kelley Drye Adds M&A Pro In Texas To Lead Practice Group
• Seeding Period Extensions After New Volcker Guidance
• Be Careful What You Share With Your Local Regulator
• Gray Matters: Clients Are Not Really 'Emotional'
• Cadwalader, Simpson, Cleary, Willkie Aided Top CMBS Loans
• National Events Creditor Nabs Remaining Assets, Ch. 7 Looms
• Regulators Focused On Bad Actor Brokers
• Guidelines, Shmidelines: Rakoff Gives Forex Fraudster 1.5 Yrs
• Gov't Says No Contract Guarantee For Fed Bank Dividends
• CFTC Nominees Talk Position Limits, Swaps Regs In Hearing
• Mnuchin Calls For Raising Threshold For Enhanced Bank Rules
• 2nd Circ. Saves FXCM 'Flash Crash' Case Over New Evidence
• 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
• E-Currency Exchange Fined $110M, Charged With Laundering
• Bank Regulatory Noms Want Simpler, Clearer Rules
• Biz Groups Say Piwowar's Letter Backs Nixing Fiduciary Rule
• CFTC LedgerX Approval Is A Big Step For Bitcoin
• Having A Chief Privacy Officer Reassures Your Firm's Clients
• Troubled Libor Underpinnings Lead FCA To Drop Rate For 2021
• Record Number Of Securities Class Actions Filed In 2017
• FINRA Promotes Acting Enforcement Chief In Reorganization
• SEC Settles Claims Of Compliance Fails At Adviser's 2 Firms
• Fed Rules Chief Nominee Says Dodd-Frank Tweaks Needed
• SEC Program Raises Ethics Issues For Atty Whistleblowers
• Global Cartel Fines Down In 2017, Report Says
• Trump Bank Noms To Face Grilling Over Dodd-Frank Rollback
• CFTC Fines Trader $635K After Smaller Run-Ins With CME
• How The PSLRA Reshaped The Rush To The Courthouse
• Calif. Man Settles SEC Suit Over Bogus App Investments
• Texas Co. Settles SEC Suit Over Oil And Gas Offering Fraud
• Pure Industrial REIT Drops $292M On Property Portfolio
• Wanted: Savvy Attys To Navigate Complex PE Landscape
• RBB Bancorp Adds Shares, Prices IPO In Middle Of Range
• Burdensome Regs Keeping Cos. Private, SEC Chair Says
• Innovating For Wise Juries: Discussions Before Deliberations
• Jay Clayton's Enforcement Philosophy
• ECB Pushes Forex Traders To Sign Onto Global Conduct Code
• SEC Chief Pans Fiduciary Rule In Letter To Labor Dept.
• 'Digital Assets' May Need To Be Registered, SEC Warns
• 'Mini-Madoff' Says 3-Year Sentence Would Be More Like It
• Winston & Strawn Nabs Private Equity Pro In New York
• SEC Says Stock Promoter Should Face 'Fake News' Suit
• Government Tipster Gets $2.5M SEC Whistleblower Award
• Deals Rumor Mill: SoftBank, Toshiba, HNA Group
• Libor Trader Waives Conflict To Keep Paul Hastings Team
• Banks Say Top Court Ruling Cuts Against SIBOR-Rigging Suit
• HSBC Wins Unredacted Docs In MBS Dispute
• Edelson Escapes Mizuho Bank Sanctions Bid In Mt. Gox Suit
• Clearing Firm Pays FINRA Fine Over Supervisory Failures
• 2nd Circ. Libor Ruling Won't Slow Cross-Border Enforcement
• 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
• Barclays Forex Rigging Settlement Nets $8.75M In Atty Fees
• LedgerX First To Get CFTC Approval For BitCoin Trading
• Carfax Owner's Controllers Kept In 'Blowout' Merger Suit
• SEC Says Broker-Dealer Can't Ditch Suit Over 'Layering'
• Wells Fargo Fights Investor's Class Cert. Bid In RMBS Suit
• Puerto Rico Bondholders Seek Seat On Creditor Committee
• Ex-Barclays Trader Banned From Banking For Unsafe Actions
• SEC Orders Exchanges To Rethink Audit Trail Fees
• Deals Rumor Mill: Spotify, UPL, Nestle
• Fed Eases Volcker's Treatment Of 'Seed' Investments
• Pigments Maker Venator Sets Terms For $447M Spinoff IPO
• New IPO Policy Signals Pragmatic Regulatory Approach
• 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?
• 4 Female Perspectives On BigLaw Leadership
• The Best Law Firms For Female Attorneys
• Women See Another Year Of Slow Gains At Law Firms
• BigLaw Bias Suits New Wild Card In Fight For Gender Equity
• How 4 Firms Are Moving The Needle On Gender Diversity
• JPMorgan, Deutsche To Settle Libor Rigging Claims For $148M
• SEC Cuts Dodd-Frank Mandates From Rule-Making Agenda
• Puerto Rico Pension Law Spurs Bondholder Suit Against US
• CFTC Seeks Default Win Against No-Shows Over $13M Fraud
• 2nd Circ. Backs Trader's $1.1M Unpaid-Wage Win, Adds Fees
• Regulators Delay Volcker Enforcement For Foreign Funds
• Texas Judge Questions Arbitration For 'Indirect Customers'
• Taxation With Representation: Bracewell, Baker, Cleary
• Crown Castle Prices $5B In Offerings For Lightower Buy
• Investment Adviser Takes SEC Admin Judge Case To Justices
• The Elephant In The Room: Advancing Women To Partnership
• How Midsize Law Firms Can Minimize Cybersecurity Threats
• Gov't Wants 'Serious' Prison Time For 26-Year-Old Fraudster
• Lessons From The CoinDash Hack
• Libor Trader Ruling Creates Cross-Border Hurdle For DOJ
• DeValerio Of Berman DeValerio Starts New Firm
• NJ Couple To Pay $2.1M Settlement Over Illegal Securities
• Ga. Trader And His 3 Firms Settle Fraud Claims With CFTC
• Gold Mining Co. Seeks Move Of $3.7M Fee Row With Jefferies
• XPO Logistics Sets Share Price For $665.5M Offering
• Jones Day Adds Ex-Shearman Capital Markets Pro In Calif.
• Pa. Man Admits To Stealing $40M In Bitcoin
• Deals Rumor Mill: ADT, Cardinal Health, Adnoc
• WilmerHale Guides $90M IPO For Kala Pharmaceuticals
• GOP Bill Would Change Bank Risk Designation Process
• Clayton Speech Signals New Tone At The Top
• 2nd Circ. Libor Ruling Helps Subjects In Int'l Investigations
• SEC Reduces Disgorgement Ask For $4M Pyramid Schemer
• Trump Banking Noms To Get Senate Hearing Next Week
• Deals Rumor Mill: Dalian Wanda, Univision, Global Blue
• Arconic Didn't Disclose Panel Sales Risks In IPO Docs: Suit
• Bracewell, Kirkland Guide $5.3B Hydro One-Avista Merger
• Brit Charged In $37M Bitcoin, Office Co. Scam Skips Court
• Acting OCC Chief Backs Fintech Charter Efforts
• Celebrity Chef Bobby Flay Plans $15M Burger Palace IPO
• Fintech Co. Wins Court-Ordered Access To Swap Servicer
• Coinbase User Allowed To Challenge IRS Records Request
• Trump To Nominate Hester Peirce As SEC Commissioner
• Turning Bust To Boom: P3 Initiatives Under PROMESA
• 2nd Circ. Nixes Libor Convictions Over Forced Testimony
• Innovating For Wise Juries: Matching Experts
• Advisers Hope Rigorous SEC Exam Program Will Relax Soon
• Bondholders Seek Receiver For Puerto Rico Electric Co.
• Goldman Sachs Loans $128M For VA Medical Office
• CFTC Claims $16M 'Binary Options' Trading Scam In Suit
• Goldman Sachs Pays FINRA $2.5M Over Options Reporting
• Cancer Center Chain Seeks Approval Of $500M Ch. 11 Plan
• SEC Blasts Trader's Challenge To Its Cooperation Program
• Senate Agriculture Lawyer Picked For Dems' Spot On CFTC
• Wider Stress Tests 'Inevitable' As BOE Looks Beyond Banks
• ESMA Chides UK Watchdog Over Financial Data Scrutiny
• Cooley Boosts East Coast Presence With 5 New Partners
• Nasdaq Fights Bid To Move Unsettled Facebook IPO Cases
• Deals Rumor Mill: Adnoc, Hutchison Global, Flipkart
• Royal Park Blasts HSBC's Discovery Bid In RMBS Case
• The Rise Of Midsize Firms
• SEC's Emerging Enforcement Priorities In The Bond Markets
• FCA Chief Warns EU Brexit Strategy Could Undermine City
• 5 Questions To Ask Yourself Before Submitting Litigation AFA
• Deals Rumor Mill: Landis & Gyr, Volkswagen, Volvo
• BNP Paribas To Pay $246M More For Bad Forex Compliance
• Puerto Rico Board OKs Development Bank Restructuring
• Chicken Soup For The Soul Entertainment Seeks $30M IPO
• Groups Say Tax Reform Can't Be Temporary, Allow Loopholes
• Online Real Estate Agency Redfin Sets Terms For $120M IPO
• SEC Says NYSE Can't Let Market Makers Trade Pre-Close
• Trader Eyed For Libor Fraud Set To Keep Paul Hastings Team
• UK Forex Traders Plead Not Guilty To US Rigging Charges
• 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
• Real Estate Rumors: Goldman, Carlson Wagonlit, LAL
• Defendants May Come To Regret This High Court 'Victory'
• The Future Of Litigation Finance Is Analytics
• Law360 Names Top Attorneys Under 40
• Moody's Warns Challenges Ahead For Ill. Despite Budget
• 6 Firms To Steer Nearly $1B In IPOs As Deals Perk Up
• CFTC's Deal With Forex Trader Results In Discovery Stay
• UK REIT Announces Planned £110M Offering To Fund Deals
• Bankers Push Trump For New Market Access In China
• Ionis Subsidiary Akcea Therapeutics Prices $125M IPO
• 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
• Calif.-Based Bank, Pet Health Co. Prep IPOs Totaling $154M
• NY Court Has Jurisdiction For Rate-Rigging Suit, Funds Say
• 2nd Circ. Petrobras Ruling No Help To MBS Class, Banks Say
• Deals Rumor Mill: KKR, Manulife Financial, JBS
• 6 More Banks Face Possible Class Actions Over 'Last Look'
• Yellen Says Business Model Could Be Used To Set SIFI Status
• Where AI Meets Cybersecurity And The Legal Profession
• FCA Plan Paves Way For $100B Saudi Aramco IPO In London
• SEC Chairman Questions Disclosure Rules, Compliance Costs
• More Cos. Authorizing No-Vote Shares Despite Resistance
• Justice Breyer On Changing His Mind And Sparring With Scalia
• FBR Investor Agrees To Drop Suit Over $160M B. Riley Merger
• Deals Rumor Mill: Generali, Votorantim, Guitar Center
• Sidley Austin Adds M&A Pro In Silicon Valley
• UK Law Firm Gordon Dadds Goes Public In Reverse Takeover
• $51M Deal Ends Long-Running Oppenheimer Junk Bond MDL
• RBS Agrees To Pay $5.5B To Settle US Loan Misselling Probe
• Investor Recovery Strategies Following ANZ Securities
• Innovating For Wise Juries: Interim Arguments
• Unstructured Data Is Just The Tip Of The Iceberg
• 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
• Texas Judge Blocks Transfers Of Penny Stock Shares
• Judge Says Futures Fraudster Must Disclose Dodgy Past
• Getty Realty Unveils $94M Stock Offering, $70M Property Deal
• Deals Rumor Mill: Miami Marlins, Legend Holdings, Adnoc
• UAE-Backed Oil Co. Explores Partial IPOs Of Biz Units
• PE-Backed Fashion Retailer Torrid Files $100M IPO
• Royal Park Says 2nd Circ. Petrobras Ruling Backs Class Cert.
• NY Forex Trader Imprisoned For $1.5M Fraud Sued By CFTC
• Feds Seek Just $676K From 3 Convicted In Coin.mx Scheme
• Morrison's Impact On Commodity Exchange Act Claims
• 5 Questions To Ask Firm Before Accepting A Litigation AFA
• Trump Names New Fed Rules Chief As Rollback Moves Ahead
• Lawmakers Ask SEC To Block Chinese Chicago Exchange Buy
• Euronext Drops $34M For Stake In Digital Portal iBabs
• CFTC Compliance Proposal For CCOs Draws Praise, Concerns
• 2 Biotech Cos., Yoga Studio Chain Launch IPOs For $255M
• CFTC Announces Review Of Swap Reporting Rules
• 2 Commercial REITs Advance IPOs Surpassing $325M
• Platinum Will Get SEC Docs While Criminal Case Advances
• Why You Should Argue Your Appeal
• 6 Ways Teaching A Law School Class Can Benefit Lawyers
• ESMA Seeks Upgrades In Dealing With 3rd Country Regimes
• SEC Goes After 2 Texas Firms, 3 Employees Over Note Sales
• Judge Boots Platinum Receiver Over Escrow 'Red Flag'
• 6 Shareholder Suits Over Akorn-Fresenius Deal Moved To Ill.
• VC-Backed Danish Biotech Zealand Pharma Files $86M US IPO
• Jamieson Raises $233M Amid Canadian IPO Recovery
• OCC Says Fintech, Lending Standards Pose Risks To Banks
• SEC Poised To Turn Cybersecurity Focus Into Enforcement
• Lehman Judge Signs Off On MBS Claims Estimation Deal
• GC Pick Shows Fed's Limited Desire For Dodd-Frank Changes
• Ireland Gov't Raises $3.9B From Allied Irish Banks IPO
• High Court Takes Up Forum Shopping In Securities Cases
• NYSE Refiles Proposal To Enable Listing Without An IPO
• Telecom-Focused Pensare Acquisition Files $250M IPO
• Deals Rumor Mill: SoftBank, Siam Commercial, POSCO
• Real Estate Cases To Watch In The 2nd Half Of 2017
• Feds Release Overviews Of Big Banks' 'Living Wills'
• Fed Rules Chief Says Now Is Housing Finance Reform Time
• Oh, The Indemnity! New Claims May Follow RMBS Settlements
• ESMA Proposes Simplified Investor Prospectus Regulations
• American Realty Facing Investor Suit Over 2014 Swaps
• Justice Stevens On Gorsuch And Sticking With The Cubs
• Helicopter Co. Investors Move Closer To $3.9M Settlement
• Bond Insurer Wants Trump To Intervene In Puerto Rico Case
• Venture-Backed Dermatology Co. Files $75M IPO
• 2017 Securities Suit Filings Continue At Historic Levels
• Health Care Deals Pro Joins McDermott From Baker McKenzie
• Mark Ein's 4th Blank Check Co. Primes $350M IPO
• Canadian IPO Market Rebounds After Poor 2016, Report Says
• Labaton Sucharow Adds 4 Securities Litigators In NY, DC
• 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
• Simmons Snags US Atty For London Capital Markets Practice
• Justice Stevens On Playing Politics With The High Court
• Judge Tells Platinum Investors To Butt Out Of SEC Dispute
• DLA Piper Strengthens Corporate Practice With Cooley Atty
• Snapchat Maker Fires Back At Ex-Employee In Arbitration Row
• No Shocker: Puerto Rico's Electric Co. Files For Bankruptcy
• IPOs Post Busiest Quarter Since 2015 As Pipeline Expands
• Polish Mobile Network Operator Launches $1.4B IPO
• Class Treatment Doesn't Jibe With Libor Claims, Banks Say
• NYSE Pulls Proposal To Let 'Unicorns' List Without IPO
• Lehman Throws Support Behind RMBS Settlement
• Redfin, Clementia Eyeing A Combined $215M In IPOs
• Demise Of Disgorgement? Kokesh And Honeycutt In Tandem
• Orrick Seals Tricky San Francisco Airport Hyatt Deal