Capital Markets Archive » August, 2021

Capital Markets - August, 2021

198 articles

• SEC Cyber Actions A 'Wake-Up Call' For Brokers, Advisers
• Robinhood Seeks To Nix MDL Over 'Meme Stock' Restrictions
• Cooley-Led Allbirds Files For $100M IPO
• How SEC's Policy Pivot Supports Whistleblowers
• OppFi Says It No Longer Faces CFPB Military Lending Probe
• Home REIT Aims To Raise £262M Through Share Sale
• Pot Co. IAnthus Dodges Investor Suit, For Now
• Hochul Names Ex-Obama Adviser To Be Top NY Financial Cop
• Ackman Builds Last Bit Of UMG Stake After SPAC Snafu
• Law360 MVP Awards Go To 182 Attys From 77 Firms
• What The Judiciary's Font Recommendations Can Teach Us
• EB-5 Sector In Flux Amid Calif. Lawsuit, Stalled Congress
• How Firms Can Help Law Schools Leap Into The Future
• Vaccines, Tuition, Race: The Litigation On Law Schools' Radar
• 4 Ideas For Updating Law Schools Post-Pandemic
• SEC Panel Maps Overhaul Of SPACs, Executive Trading Plans
• SEC Grants Whistleblower Award To Compliance Pros
• Chinese Cos.' US IPOs Plunge Amid Regulatory Crackdowns
• Nikola Founder, Feds Clash Over Investor Fraud Forum
• Forex-Rigging Case Tainted By Judge Error, 2nd Circ. Told
• New Shadow Trading Enforcement Lessons For Private Funds
• Goodwin-Led Software Co. Toast Readies IPO
• Cleary-Led Fintech ION Ups Bid To €2B For Italy's Cerved
• SEC Seeks Public Input On 'Gamification' Of Online Trading
• Santander US Names New Chief Risk Officer
• 49 Law Firms Push Back Against Litigation Targeting SPACs
• Crypto Status Remains Unclear Despite SEC Assurance
• Green Dot Hires Ex-Barclays, PayPal Compliance Vet As CCO
• Sen. Toomey Calls For Public Input On Crypto Legislation
• 3 Blank-Check IPOs Tap Public Markets For $410M Combined
• Kirkland, Cadwalader Rep Forbes' $630M Go-Public Deal
• SEC Settles With Ark. Broker Over Muni Bond Tender Offer
• Deals Rumor Mill: Nubank, Kioxia, TPG Capital
• 2nd Circ. Hands Goldman Cert. Fight Back To NY Judge
• SEC Taps Longtime Investor Advocate As Adviser To Gensler
• 4 ShiftPixy Blank-Check Vehicles Slash IPO Sizes
• Real Estate Rumors: Related, ZG, Starwood
• Steps For Complying With FinCEN's New AML Priorities
• $14M Securities Settlement Approved For REV Investors
• Thai Regulator Proposes New Rules For Digital Asset Custody
• Frost Brown Atty Joins $4B Investment Firm Winthrop As CCO
• Biz Groups Back State Suit Discovery Stays, High Court Told
• Insurer Can't Escape Coverage Suit Over Stock Buyback Row
• Hemp Co. CEO's Brother To Pay $150K In SEC's Fraud Case
• Court Blocks Crypto Transfers Linked To Bitcoin SV Attack
• SEC Cyber Disclosure Actions Point To Merciless Scrutiny
• SEC Nabs $6M Settlement In Earnings Management Sweep
• Ex-Greensill Risk Chief Lands At New Firm, Recounts Collapse
• 2 Firms Seek $1.5M For COVID-19 Vax Developer Suit In Del.
• Kirkland-Led Fashion Platform Joins Wave Of IPO Filings
• How The 'Rocket Docket' Continues To Roar Through COVID
• UK Antitrust Watchdog Probes S&P's $44B Bid For IHS Markit
• SEC Chief Enforcement Counsel Steps Down After A Decade
• Ex-FinCEN Heads Ask Justices To Restrain SEC's AML Powers
• Pot Co. IAnthus' Lenders Seek More Time To Close Debt Plan
• CFTC's Digital Asset Authority Misunderstood, Commish Says
• Direct Selling-Focused SPAC Files For $200M IPO
• Evaluating Challenges To SEC's ESG Disclosure Proposal
• Ex-CEO's Trial Lawyer Calls Distraction Allegation False
• Tradeweb Taps Ex-Bloomberg Pro As Global Compliance Chief
• Latham, Skadden Pilot $3B Virgin Orbit SPAC Deal
• Ackman Smacks Back At SPAC Suit With 'SPARC' Plug
• SEC Accuses Ga. Adviser Of Running $110M Ponzi Scheme
• Compliance And Risk Hires: From MUFG To Blue Cross
• 2 Asset Managers Nix Plans For ETFs Exposed To Ether
• LumiraDx, Health Care SPAC Slash $2B From Deal Value
• Jeffer Mangels' Hospitality Chair Sees A Tale Of Two Cities
• DLA Piper Partner Moves To Stradley Ronon In Philadelphia
• Topps' SPAC Deal Is A Goner After MLB Decision To Cut Ties
• UK Lawyers Prep For More SPAC Work After Rules Change
• 6 Firms Guide Trio Of SPACs Seeking To Raise $550M
• US Says $380M Award In 1MDB Fraud Case Is Fair Game
• Recent Crackdown Highlights SEC's Growing Crypto Scrutiny
• SoFi Wealth Pays $300K To Settle SEC's Conflict Claims
• Why A Missed Email Could Cost You Your Case
• Deals Rumor Mill: Saudi Aramco, Tricor Group, SenseTime
• CFTC's Quintenz Says He's Leaving In 2 Weeks
• NY Tax Considerations For Fund Managers Handling Crypto
• Ex-SEC Chair Clayton Joins Fintech Fireblocks As Adviser
• SEC's 'Shadow Trading' Suit Dives Into Murky Area Of Law
• SEC-Approved Nasdaq Diversity Rule Challenged In 5th Circ.
• RICO, Conspiracy Charges Stick In Feds' JPMorgan Spoof Suit
• Bitcoin 'Mixing' Service Operator Cops To Money Laundering
• Vroom Execs Botched Inventory, Duped Investors, Suit Says
• Netherlands Joins Global Crackdown On Binance
• Chicago Merc Gets $15.7M From Intercontinental In TM Trial
• CME Denies Rumored $16B Cboe Takeover Bid
• Green Fintech Startup To Merge With SPAC In $2B Deal
• 2nd Circ. Ruling May Help Foreign Nationals Fight Extradition
• Sidley, Loeb Steer SPAC Deal For $3B Specialty Auto Insurer
• Justices To Hear 'Pivotal' Case On Discovery Stays This Fall
• Tilray Eyes US Expansion With 'Game-Changing' MedMen Deal
• SEC Sues Exec For Trading On 2016 Pfizer Merger News
• Investors Allege Ackman's SPAC Dodged Registration Rules
• SEC Strikes $9M Deal With Adviser Over Short-Selling Lapses
• Courts Should Consider Extended Models In M&A Valuation
• European Fintech Bitpanda Hits $4.1B Value In Series C Round
• TZero's CEO Resigns, CLO Takes Over Top Spot
• These Law Firms Have The Most Diverse Equity Partnerships
• Risk Analytics Co., SPAC Call Off $1.4B Merger
• Tim Hortons China Valued At $1.7B In Planned SPAC Merger
• FINRA Warns Firms Of Third-Party Compliance Risks
• SEC Calls 'Supercomputer'-Driven Investments A $12M Fraud
• SEC, European Central Bank Boost Security Swaps Oversight
• Law360's Diversity Snapshot: What You Need To Know
• Tyson Pays $1.5M CFTC Fine Tied To Soybean Position Limits
• Hunter Taubman Steers Tech-Focused SPAC's $100M Filing
• Nasdaq Diversity Rule To Bring Change, Or Shame, To Cos.
• NY Finance Pro Bilked Retirees In Ponzi-Like Scam, Feds Say
• 5 Blank-Check Cos. Blitz Public Markets For $840M Combined
• Greenberg, Foley Steer $1B Surgical Robotics SPAC Merger
• 5 Reasons Lawyers Often Fail To Secure Litigation Funding
• NJ-Based Hill Wallack Expands And Relocates NY Office
• Cuomo Ally To Depart As Top NY Financial Regulator
• Kraft Heinz Must Face Investors' $15.4B Impairment Suit
• DOJ, FTC Push Fed's Proposal For Virtual Wallets
• Despite Giuliani's Assertion, Lawyers Cannot 'Throw A Fake'
• Jones Walker Steers PE-Backed Alabama Bank's $38M IPO
• Deals Rumor Mill: Nubank, Hella, TMZ
• Blockchain-Focused SPAC Among 3 IPOs Totaling $400M
• It's Time To Upgrade Our Attorney Licensure Rules
• Troutman Pepper Adds Ex-Greenberg Traurig Real Estate Pro
• Nuveen Can't Dodge Suit Over Alleged Preston Hollow Boycott
• Hong Kong Sees More Listing Inquiries Amid US-China Spat
• Goldman Sachs, Investors Spar Over Cert. Again At 2nd Circ.
• Senate Clears Budget Vehicle For Biden's $3.5T Relief Plan
• Air Taxi Co. Says Rival's 'Sham' IP Suit Has Cost It $1B
• Investor Challenges Mudrick Plans For $1.3B Topps SPAC
• Entrepreneur From Taiwan Gets 6 Years For $3M Fraud Spree
• Data-Based Predictions On Case Timelines After Pandemic
• BitMEX Resolves CFTC, FinCEN Probes With $100M Deal
• Senate OKs $1.2T Bill With Enhanced IRS Crypto Oversight
• Foley Hoag, Latham Lead RNA Tech Co.'s $1.2B SPAC Merger
• Cooley-Led Eliem Therapeutics Prices $80M IPO
• Robinhood To Buy Shareholder Comms Platform For $140M
• Embracing ESG
• 5 Potential Speed Bumps For Clean Energy Investment
• $16M Deal Over Baxter Forex Controls Gets Final OK
• Senate Approves $1.2T Bipartisan Infrastructure Bill
• How SPACs Are Evolving, And What To Expect Next
• Former SEC Director Leaves Coinbase Role After 4 Months
• Switch Inc. Ditches The Last Of Its 2017 IPO-Related Litigation
• The IPO Market Is Finally Taking A Breather
• Retail Bond Committee Denied In Puerto Rico Bankruptcy
• SEC Settles With Crypto Exchange Poloniex For $10M
• Retention Is Key To Meaningful Diversity At Law Firms
• Weil, Graubard Miller Lead Leafly's $385M SPAC Deal
• SEC's 1st Action Over 'DeFi' Tech Nets $13M Settlement
• Infrastructure Bill Advances Despite Cryptocurrency Impasse
• SEC Approves Nasdaq Board Diversity Proposal
• Biopharma Co. Adagio Grabs $309M In Cooley-Led IPO
• Binance.US CEO Quits As Co. Cuts Derivatives Products In HK
• EQRx Worth $3.65B In Deal Led By Goodwin, White & Case
• Robinhood Backers Prep Sell-Off That Could Raise $3.4B
• 2nd Circ. Says Ex-SocGen Exec Is No Fugitive, Can Fight Case
• SEC Whistleblower Actions Create Agency Rift, Halt Lawsuit
• Investors Say They Have 'Smoking Gun' In Auction-Fixing Suit
• Fed's Waller 'Highly Skeptical' Of Need For Digital Dollar
• Cannabis-Focused SPAC Files for $100M IPO
• Gensler Is Ready To Make SEC The Crypto Cop. But How?
• US Says $1.2B Looted In 1MDB Scandal Has Been Returned
• Deals Rumor Mill: Pershing Square, UnitedHealth, Westpac
• Firms' Human Capital Disclosures Vary Amid Vague SEC Rules
• Weber Leads Trio Of IPOs With Downsized $250M Offering
• Pulling Up Stakes: Pillsbury, Greenberg Traurig, McDermott
• 10 Steps To Building An ESG Board Committee: Part 2
• Odonate Therapeutics Can't Beat Investor Suit Over Drug Trial
• Former NFL Investor Headed For 2022 Crypto Fraud Trial
• Banks Fight Class Cert. Bid In Stock Loan Antitrust Suit
• PetroSaudi Unit Says US Still Can't Seize $380M Award
• Coinbase Users Slam Monthslong Crypto Account Freezes
• Sens. Float Leaner Cryptocurrency Rule For Infrastructure Bill
• Fintech Co. Pico Lands $1.4B Value In SPAC Deal
• Biofuel Co. Hit With Investor Suit Over Financial Reports
• Media, Decarbonization SPACs Raise $350M In IPOs
• Compliance Pros Say Pandemic Had Little Effect On Culture
• Avoiding Unauthorized Practice Of Law In Remote Work
• Foster Garvey Adds Ex-Dunn Carney Securities Co-Head
• Ex-Merrill Lynch Traders Convicted Of Manipulating Market
• Greensill Moves Toward Finacity Sale Despite Terms Changes
• 10 Steps To Building An ESG Board Committee: Part 1
• Dropbox IPO Settlement Gets Initial Greenlight
• Bond Investors Seek 2nd Circ. Redo In Market-Rigging Suit
• Gensler Calls For Amped-Up Regulation Of Crypto 'Wild West'
• US Treasury's Financial Crimes Unit Names New Acting Head
• UBS Fined $1.5M In Hong Kong For Compliance Failings
• SEC To Review Controversial Whistleblower Rule Changes
• Ex-Citibank Exec Can't Target Argentine Unit Over $9.5M Case
• Ripple Exec Seeks Binance Docs To Fend Off SEC's Claims
• Ex-SEC Examiner Joins PE Firm TSG As Compliance Head
• NY Regulator Hires Norton Rose Atty As Banking Deputy
• Attys Nab $5M After Trader's Spoofing Suit Settlement
• Ex-Mortgage CEO Says Trial Atty Distracted By Custody Fight
• Investor Drops Profiteering Claims Against Blockchain Execs
• Cooley-Led Adagio Plots Course For $301M IPO
• 3 Firms Rep IHS Markit's $1.2B Divestment To News Corp.
• MoFo, Gennari Pilot SPAC Deal For $777M Aviation Hangar Co.
• Ripple's Discovery Wins Over SEC Offer Defense Strategies