Capital Markets Archive » November, 2017

Capital Markets - November, 2017

236 articles

• Justices May Hear Challenge To SEC Judges, But Not Go Far
• Trump Set To Tap Fifth Third Bank Exec As Next FDIC Chief
• Nutter McClennen Nabs Former Comptroller Of The Currency
• SEC Announces $16M In Whistleblower Awards, Wins Hit $1B
• SEC Ratifies ALJs To Conform With Appointments Clause
• Objectors Say $75M JPMorgan Deal Must At Least Double
• Coinbase Must Give Info To IRS For Transactions Over $20K
• E-Commerce Giant Alibaba Issues Massive $7B Bond
• SEC Official Says More ICO Enforcement Actions Expected
• The Billing Evolution: How Far Along Is Your Firm?
• 10 Tips For Effective Practice Before The 5th Circ.
• SEC Gives Up The Ghost On Lynn Tilton Enforcement Case
• SEC Tells High Court ALJs Are Officers, Not Employees
• Senator Quizzes SEC Nominees On Activism, Pay, Buybacks
• Deals Rumor Mill: Unilever, GFL Environmental, Rumo
• Siemens Picks Frankfurt For 2018 IPO Of Health Care Unit
• SEC Defends Fraud Claims Against Ex-Nomura Trader​
• New Jersey REIT Reverse Mortgage Pulls $100M IPO
• Judging A Book: Saris Reviews 'Locking Up Our Own'
• Justices Push Back Against Wider Whistleblower Definition
• Justices Grapple With 'Gibberish' In State Securities Case
• SEC Chair Says He Is Bracing For MiFID II Impact
• PE-Backed Consumer Lender Curo Launches $100M IPO
• It's OK, Whistleblowers Will Always Have SOX
• Ga. Exec Barred From Helming Public Cos. In Fraud Suit Deal
• PE-Backed Medpace Unveils 4M-Share Secondary Offering
• Deals Rumor Mill: Siemens Healthineers, Uber, Albea
• Sinclair To Borrow $3.7B To Fund Tribune Acquisition
• Top EU Court To Review ECB's Quantitative Easing Program
• Justices To Weigh Curbing State Securities Class Actions
• RYB Faces Stock-Drop Suit Over Child Abuse Scandal
• Platform Specialty Closes $550M Senior Notes Offering
• Globalworth Real Estate Plans To Raise $357M
• 3 Life Sciences Cos., 1 Bank Launch IPOs Totaling $481M
• Whistleblower Case Could Widen Into A Chevron Challenge
• Deals Rumor Mill: Springer Nature, Ping An, Bezeq
• Forex Broker Denied 2nd Chance At Tossing Chancery Suit
• Platinum Execs Charged In $1B Fraud Get 2018 Trial Date
• UK Real Estate Group Shelves IPO For Private Funding
• Tezos Hit With Class Suit Over Cryptocurrency Offering
• UAE-Backed Oil Giant Seeks $2B IPO For Gas Stations Biz
• Whistleblower Protections Are At Risk At The High Court
• CFTC's Troubling Price Manipulation Claims Against Statoil
• Forex Wrangle Triggers Late Rewrite Of EU Derivative Laws
• Watchdog Guides On Protecting Investors When Funds Terminate
• Regulator Reveals Bank Compliance Officers' Top Challenges
• Advanced Disposal Completes $151M Secondary Offering
• CFTC Settles Fraud Suit Over Online Trading School For $5M
• SPACs Grabbing Bigger Share Of IPO Market
• Latham Steers Indian Life Insurance Co.'s $1.3B IPO
• CFTC Sees Steep Drop In Enforcement Actions In 2017
• Xinyuan Real Estate Sells $200M Of Senior Notes
• SEC Whistleblower Program Ain't Broke — So Don't 'Fix' It
• Financial Crisis, 10 Years On
• SEC Sues Long Island Town, Ex-Official For Securities Fraud
• Puerto Rico Board Says Bond Insurer Can't Fight Fiscal Plan
• PE-Backed Cos. Unveil Secondary Offerings Totaling $470M
• CFTC Grants Relief To Swaps Execution Compliance Chiefs
• FDIC Chair Says Raising Oversight Thresholds Risks Fund
• Initial Coin Offerings May Face A Global Crackdown
• RMBS Trustees Open Court Fight For $11.4B Lehman Claim
• Snap Investor Class Action Could Bounce Back To State Court
• Barclays Seeks 2nd Circ. Review Of Dark Pool Class Cert.
• 3 UK Forex Traders Seek Dismissal Of Rate-Rigging Charges
• Treasury Looks To Ease Firms' Escape From Tougher Scrutiny
• Kirkland Snags Vinson & Elkins Capital Markets Partner
• Blank Check Co. Highland Acquisition Pulls $250M IPO
• Don't Waste This Planning Cycle: Year-End Strategies
• Ex-Shearman Partner Joins Capital Markets Advisory Firm
• Creditors' Options In Venezuela's Disorderly Default
• CRA Review Of Bank Regulatory Guidance Is A Bad Idea
• 10 Years After Crisis, What We Still Need To Do
• Yellen To Retire From Fed Once Successor Is Confirmed
• Securitization Rules Partially Eased As EU Council Gives OK
• CFTC Gets $4.5M Default Judgment In Investor Fraud Case
• Tax Bill's Ambiguity Increases Investors' Litigation Risk
• Treasury Advises FSOC Take 'New Approach' To Nonbanks
• VC-Backed Stitch Fix Ekes Gain After $120M IPO Prices Low
• Trader Wants SEC Attys DQ'd Over Alleged Privilege Breach
• From Snaps To Tweets: The Craft Of Social Media Discovery
• Century Casinos Prices $30M Offering For Racetrack
• Legacy Raises $300M In IPO To Buy Consumer Co.
• 3 Firms Guided Largest CMBS Loan In October
• What A Solar Eclipse Has To Do With Market Efficiency
• Big Banks Face Wider Treasury Auction-Fixing Suit
• You've Been Warned, SEC Head Says Of Cryptocoin Offerings
• NantKwest Investor Sues Insiders Over Restatements
• House Panel Approves Bill Lifting Reg A+ IPO Limit To $75M
• Deutsche Bank Takes Hunt For Billionaire Vik To Delaware
• 2 PE-Backed Cos. Unveil Secondary Offerings Worth $1B
• $120M Barclays Deal Attys Reduce Fee Request By $8M
• Avenue Capital $6M MagnaChip Fraud Deal Tossed Again
• Chinese Fintech Jianpu Raises $180M After IPO Prices Low
• PE-Backed MPM Delays $350M IPO, Citing Adverse Markets
• Senate Confirms Otting As Comptroller Of The Currency
• An Interview With Former DHS Secretary Jeh Johnson
• MiFID II Research Unbundling — Crisis Averted?
• EU Regulator Trains Sights On Fund Performance Fees
• SEC's Clayton Tightens Leash On Further Audit Trail Delays
• Chinese Companies Inject Life Into US IPO Market
• Puerto Rico Creditors Denied Bid For Separate Debt Probe
• Deals Rumor Mill: AT&T, Mattel, Varo Energy
• Associate Settles For $2.7M In SEC Oil And Gas Fraud Suit
• Greenberg Traurig Steers Blank Check Firm's $500M IPO
• REIT Investors Defend Suit Over Board Probe Of Loan Loss
• Senate Moves Comptroller Nominee Closer To Confirmation
• Judging A Book: Gilstrap Reviews 'Alexander Hamilton'
• ICO Token Purchasers May Be Entitled To A Refund
• Nomura, RBS Say 2nd Circ. Decision Deprived Right To Jury
• 'Rainbow' Charity Bilked Investors Out Of Millions, SEC Says
• Puerto Rico Gov. Touts Sovereignty In $95B Aid Request
• SEC Enforcement Activity Plunged With Dawn Of Trump Era
• SEC Gets Preliminary Injunction In Coin Offering Fraud Suit
• CFTC Fines Norwegian Energy Co. $4M For Index-Rigging
• UBS Can't Exit Price-Fixing Suit, Gold Sellers Say
• VC Group Pushes For Win In Foreign Entrepreneur Rule Row
• FDIC Chair Warns Bank Rules' Rollback Poses Fiscal Risks
• The Case For Creating A Mediation Department At Your Firm
• Pennsylvania REIT Delays $527M IPO, Citing Market Concerns
• Peruvian Food Co. Camposol Files $345M Dual-Listed IPO
• A New, Relaxed Standard For Class Cert. In Securities Cases
• Puerto Rico Gov't Wins Autonomy Fight Over Electric Co.
• Swaps Overhaul Should Boost Market Vibrancy: CFTC Chair
• 3 Cos. Price IPOs Raising $410M Led By Chinese Lender
• House OKs Increased Market Data Security Requirements
• NY Hits Credit Suisse With $135M Fine Over Forex Business
• SEC Claims Philly Lender Raised $4.5M In Illegal Offering
• Forex Trader To Pay $2.3M To Settle CFTC's Fraud Claims
• REIT Launches $34M 'Mini-IPO' To Acquire Resort
• Green Tech Exec Must Face SEC Suit, Judge Says
• Sens. Strike Deal To Raise Threshold For Tougher Bank Rules
• PE-Backed Danish Furniture Co. TCM Seeks Up To $115M IPO
• Deals Rumor Mill: Buffalo Wild Wings, Saudi Aramco, AT&T
• Dodd-Frank And Deregulation: Some Lessons From History
• Taxation With Representation: Kirkland, Baker Botts
• Being There: Defending Depositions
• EU Securities Watchdog Warns Investors On ICO Legal Risks
• Ex-SEC Chair Warns Of Adviser Exam Shortfall 'Disaster'
• Ex-Barclays Trader 2nd To Get Libor Conviction Reviewed
• EU Court Rebukes Watchdog Over €15M ICAP Libor Rig Fine
• PE Backers Poached Hot Topic's 'Crown Jewel,' Creditors Say
• SEC Likely To Revisit Cybersecurity Guidance, Official Says
• ECB Vice President Casts Cold Water On Cryptocurrencies
• Ex-Aveo Exec's Penalty In SEC Deal Up To Magistrate Judge
• Chinese Search Co. Sogou's Shares Rise In IPO
• 9 Firms To Steer IPOs Exceeding $1.7B Amid Preholiday Rush
• House OKs New Safe Harbor For Small Private Offerings
• SEC Can't Score Default Win In $5M 'Prime Bank' Case
• Deals Rumor Mill: Hasbro, Mitsubishi UFJ, Flynas
• 2nd Circ. Won't Revisit Use Of Forced Testimony
• A Look At NYC Bar Association's Task Force On Puerto Rico
• SunEdison Judge Says Creditor Seems Bitter Over Equity Deal
• The Legal Fallout For Harvey Weinstein's Hired Hands
• SEC Chair Wants Mom And Pop Investors To Have More Say
• SEC Must Take Fraud Case Against Green Tech Exec To Trial
• Metropolitan Bank Leads 4 IPOs Totaling $372M
• DOJ Criminal Unit's Acting Asst. AG Takes FinCEN Gig
• Skadden Guides China Literature's $1.1B Hong Kong IPO
• Republicans Open To Saving Private Bonds In Tax Overhaul
• McDermott Nabs Fintech Trio, Including Blockchain Pro
• Jury Persuasion In An 'Alt-Fact' World
• Ex-Fed Agent Gets 2 Years For New Bitcoin Theft Charge
• The New Breed Of Regulated Funds
• Ex-UBS Trader Hayes Wins Reprieve On FCA Ban Amid Appeal
• DOJ Wants More Enforcement Coordination, Deputy AG Says
• Acting OCC Head To Reveal Volcker Rewrite Ideas In Spring
• Florida Time Share Co., Others Launch IPOs Totaling $336M
• Puerto Rico Bondholders Fight For Separate Debt Probe
• Va. Man Cops To $100M Fitbit Stock Scheme That Netted $4K
• Barclays To Pay $105M In FERC Power Price Manipulation Deal
• Apple Taps Debt Markets For Another $7B
• FDIC Fights Banks' Bid To Slip Colonial RMBS Claims
• OTC Unveils Policy To Combat Fraudulent Stock Promotion
• UK REIT Aviva Investors Eyes £200M IPO
• Fed Rules Chief Is Ready For 'Fresh Look' At Regs
• Deals Rumor Mill: Providence, Blackstone, Louis Dreyfus
• Treasury Rules-Rewrite Chief Says Tweaks Are Coming
• Landmark Dishonesty Ruling Tips Scales Toward Prosecutors
• Applying The Investors' Playbook To Legal Career Planning
• Justices To Hear From SG On Securities, Whistleblower Cases
• 2nd Circ. Affirms Class Cert. In Barclays Dark Pool Case
• US Bank Fights Denial In Discovery Row With Royal Park
• US Gov't To Defend Puerto Rico Restructuring Law In Court
• CFTC Dings Cargill $10M Over Swaps Reporting
• VC-Backed Stitch Fix Joins 6 IPO Launches Totaling $855M
• The Law Firms Spinning The White House Turnstile
• Genocea Hit With Securities Suit After Herpes-Drug Flop
• Has Trump Been Good For BigLaw?
• What Trump's War On Regulations Means For Lawyers
• Who's Repping Whom? Law360's Guide To The Mueller Probe
• Investors Pour Another $9B Into Chinese Property Developer
• Banks Fight OTC Class Cert. In Libor-Rigging MDL
• UAE-Backed Oil Giant Launches $3B International Bond
• JPMorgan Inks $75M Settlement Over Fund Performance
• US Financial Markets Research Chief To Leave Agency
• NY Fed Chief Dudley Announces Plans To Step Down
• Putting Our Nation's Economy At Risk Again
• How IT And Procurement Pros Can Inform Law Firm Budgeting
• Third Time's Not A Charm For Barclays, US In $31B RMBS Suit
• FHLB Boston Rekindles $5.7B MBS Row Against Moody's
• Tezos Didn't Register Cryptocurrency With SEC, Suit Says
• CFTC Commissioner Quintenz Wants Focus Of Risk Narrowed
• Puerto Rico Gov't Fights Appointment Of Utility Manager
• House Bills Could Make IPOs And Private Offerings Easier
• Momentive Creditors Ask For Rethink On Make-Whole Outlay
• 10 Firms To Steer IPOs Raising Near $2B As China Leads Way
• Renewable Energy Co. Expands With $255M Merger
• Deals Rumor Mill: Broadcom, CVS, Belfius
• DLA Piper Adds Latin America-Focused Finance Atty
• The Republican Tax Plan Is Out, But Can They Pass It?
• Getting Real About Artificial Intelligence At Law Firms
• Tax Cuts Expected To Be A Hard Sell For Republicans
• Morgan Stanley To Pay $350K Over CFTC Reporting Glitches
• PE-Backed Evoqua Water Leads 4 IPOs Totaling $777M
• Odebrecht Units Say No Harm Shown In Bond Fraud Motion
• Hercules Capital Inks $125M Deal For Venture Loan Portfolio
• Deals Rumor Mill: T-Mobile, Novartis, TMF Group
• In Trump Era, The Fed's Powell Could Be 'Voice Of Moderation'
• VC-Backed Email Tech Co. SendGrid Launches $112M IPO
• Trump Taps Powell To Lead Federal Reserve
• SEC Chicago Office Head Announces Departure
• Emaar Properties Eyes $1.5B IPO Of Development Division
• Proportionality, Not Perfection, Is What Matters
• GOP Tax Bill Sets 20% Top Corporate Rate
• Brooklyn Cryptocurrency Businessman Charged With Fraud
• Puerto Rico Blasts Request For Restructuring Litigation Stay
• Celeb Cryptocurrency Promos May Be Illegal, SEC Says
• 3 Firms Break From Pack Amid IPO Surge In October
• Buchanan Ingersoll Hires Blank Rome Transactional Atty
• Deals Rumor Mill: Novartis, I-Med Radiology, Kaltura
• Ex-Merrill Lynch Broker To Pay $5M For Overcharging Clients
• FXCM Could Have Warned Investors, Stock-Drop Suit Says
• Attys Seek $35M In JPMorgan, Deutsche Libor-Rigging Row
• 2nd Circ. Significantly Weakens Cramdown Threat
• Senate Panel Unanimously Approves Trump SEC Noms
• Make Way For The 'Unicorns'