Capital Markets Archive » October, 2023

Capital Markets - October, 2023

332 articles

• 5th Circ. Gives SEC 30 Days To Tweak Stock Buyback Rule
• Wells Fargo Says SEC Investigating Cash Sweep Offerings
• 10th Circ. Undoes $1.5M Sanction Against Schlichter Bogard
• SEC Crypto Bulletin Needed Congressional Review, GAO Says
• Securities Seller Claims Boss Fired Him For Younger Workers
• Credit Suisse Slams Investor's 'Fraud By Hindsight' Claims
• Ex-StoneX Employee Settles Insider Trading Case For $160K
• US Trustee Cites 'Mistrust' In Vesttoo Ch. 7 Conversion Bid
• Deutsche Bank Can't Nix Malicious Prosecution Suit
• FINRA Fights 'Existential Threat' With 5th Circ. Nasdaq Ruling
• Citadel Securities Says Ex-Reps Can't Shed Trade Secrets Suit
• Republicans Press Fed, Others On Slow Bank Merger Reviews
• Crypto Founder Gets Max 4-Yr. Sentence For Tax Crimes
• Why Public Cos. Should Also Comply With SEC's Names Rule
• Bankman-Fried Denies Pressuring Bahamian Pols As FTX Fell
• Nuclear Energy Firm And Ares-Backed SPAC End Merger Deal
• Swiss SPAC Agrees $303M Buyout Of Power Network Biz
• COVERAGE RECAP: Day 16 Of Sam Bankman-Fried's Trial
• Chancery Urged To Reject 'Hindsight' Basis For SPAC Suit
• Hacker Gets 30 Months Over $1M SIM Swapping Theft
• Crypto Org Loses Bid To Undo Tornado Cash Sanctions
• Carvana, Execs Escape Investor's Offering Statements Suit
• Celsius Makes Final Arguments For Ch. 11 Reorg Plan
• SBF Pummeled With Prior Statements On Cross-Examination
• SEC Relieves Private Debt Issuers From New Disclosure Rules
• SEC Suit Claims SolarWinds Misled Investors On Cyber Risks
• Trump-Tied SPAC Files Revised Financial Statements
• Ex-Stockbroker Seeks To Gut Private Financial Regulator
• Mineral Biz Investors' Attys Get $450K For Mooted Merger Suit
• MB Bank Whistleblower Suit Fatally Flawed, 2nd Circ. Rules
• Bittrex Wins OK For Ch. 11 Plan That Pays Creditors In Full
• Best Practices For Cos. Navigating US-China Investigations
• Tips For Litigating Against Pro Se Parties In Complex Disputes
• Skadden-Led Western Digital Says It Will Split Into 2 Cos.
• Gene Therapy-Focused Lexeo Therapeutics Eyes $126M IPO
• Justices Won't Hear Case Over 'Eye-Popping' SEC Penalties
• COVERAGE RECAP: Day 15 Of Sam Bankman-Fried's Trial
• Getty Images Owes $88M In Damages In Stock Warrant Spat
• Heyman Enerio, Labaton Sucharow Clash Over Investor Deal
• Lucid Investors Ask 9th Circ. To Undo 'Bright-Line Test' Ruling
• How Ripple Execs' Grit & Litigation Forced SEC To Back Down
• Gemini Seeks $1.6B In Collateral From Genesis Loans
• Coffee Chain Execs Knew Inflation Hurt Margins, Suit Says
• Bankman-Fried Attempts To Shift Blame In FTX Fraud Trial
• IPO Flops Could Spur A Rise In Stock-Drop Litigation
• EV Maker Thunder Power To Go Public Via $400M SPAC Deal
• Don't Miss It: Kirkland, Freshfields Lead Hot Deals
• COVERAGE RECAP: Day 14 Of Sam Bankman-Fried's Trial
• Goldman Sachs Can Enforce $20.7M Award Against Ex-Exec
• 6th Circ. Probes SEC On Proxy Proposal Comment Period
• Bankman-Fried Evasive In Preview Of Jury Testimony
• Big Banks Lose Bid To Toss NJ Bond Marketing Claims
• Red States Ask 5th Circ. To Revive ESG Investing Rule Fight
• CFTC, States Ink Settlement In $68M Precious Metal Fraud Suit
• 11th Circ. Won't Touch Verdict On Bitcoin's Origins
• Clean Energy Tax Credit Transfers Gather Steam — Slowly
• SEC's Gensler Cautions Against Climate Rule Lawsuit
• Citi Freed At Last From Fed's Forex Rigging Consent Order
• Deals Rumor Mill: ConocoPhillips, Disney, Orange-MasMovil
• COVERAGE RECAP: Day 13 Of Sam Bankman-Fried's Trial
• Bank Regulators Finalize Climate Guidance With Minor Tweaks
• More Shareholders Are Opting Out Of Class Deals, Study Says
• 3 Ex-Execs Look To Ditch Truist Unit's Poaching Suit In NC
• Full 5th Circ. Urged To Review Nasdaq Board Diversity Rule
• Gensler Mum On High Court Case Challenging SEC Hearings
• 'Concerning Error' Dooms SEC Case Against Zicam Inventor
• How CRE Loans Would Shift Under New Bank Capital Rules
• Ex-Arizona AG Among Partner Trio Joining Boies Schiller
• Pro Bono Work Is Powerful Self-Help For Attorneys
• MVP: Paul Weiss' Bob Zochowski
• Hedge Fund Boss Convicted Of Rigging Forex At NY Trial
• Bankman-Fried To Testify In 'Hail Mary' Trial Strategy
• Kirkland, Baker Botts Build $190M IPO For Oil And Gas Driller
• EPIC Acquisition SPAC Gets Extension To Find Target
• Qualtrics Investors Sue SAP Over $12.5B Take-Private Deal
• Nikola Awarded $165M In Arbitration Proceeding With Founder
• SEC's Grewal Details 'Rare' Conditions For CCO Liability
• BlackRock Fined $2.5M To End SEC Disclosure Failure Claims
• Coinbase Says SEC Theory Is 'Irreconcilable' With Law
• Mutual Fund Administrator Enabled $106M Scam, Suit Says
• Genesis Wins 2-Week Reprieve To File 'No Deal' Ch. 11 Plan
• Jury Hears Alleged Forex Rigging Just A 'Smart Money' Play
• What US Cos. Should Know About ESG Directives In The EU
• MoFo Adds Former Perkins Coie Managing Partner In DC
• Playing In A Rock Cover Band Makes Me A Better Lawyer
• Dentons' Venture Tech Team Welcomes Burns & Levinson Atty
• The Biggest Moments In Sam Bankman-Fried's Trial So Far
• Innventure To Go Public At $385M Value Via SPAC Merger
• FTX Gets OK To Keep Customer List Sealed
• Wyrick Robbins Guiding Citius Oncology Unit In SPAC Merger
• Accused OneCoin Conspirator Nearing Plea Deal
• Durant-Backed SPAC To Dissolve After Failed Merger Search
• MVP: Dentons' Erik Klingenberg
• 7th Circ. Backs Ex-Merrill Lynch Reps' Spoofing Convictions
• Quinn Emanuel Taps DOJ Vet Who Led 'Spoofing' Crackdown
• CFTC's Combative Settlement Tactics Could Soon Bear Fruit
• Oats Company Fined $3M For Trying To Roll Futures Prices
• LBRY Won't Pursue Appeal In SEC Unregistered Token Case
• FTX Seeks Records From Effective Altruism-Tied Org In Ch. 11
• Crypto Founder Says Nixed Witnesses Taint Fraud Conviction
• Lenders Call For Shot At Writing Genesis' Ch. 11 Plan
• Grayscale Win Over SEC May Finally Herald Spot Bitcoin ETPs
• AI-Focused Real Estate Firm Goes Public Via Direct Listing
• 3rd Circ. Appeal Of DOL Penalty Halted For Justices' SEC Case
• Catching Up With Delaware's Chancery Court
• The Pop Culture Docket: Judge Espinosa On 'Lincoln Lawyer'
• Icahn Says $8B Illumina-Grail Deal Caused Millions In Losses
• Crypto Founder Asks For Less Prison Time For Tax Crimes
• Alleged 'Pump-And-Dump' Funders Say RICO Claims Must Go
• Crypto Co., CEO Must Pay SEC $1.2M In Default Judgment
• 2 Firms To Lead Verizon Investor Suit Over Lead Cables
• SEC Seeks Default Against Alleged Crypto Insider Trader
• Chancery Orders Ocean Tech Co. To Provide Docs To Investor
• FinCEN Floats Reporting Requirements For Crypto Mixing
• Feds Give Banks More Review Time, Seek Data For Basel Plan
• Market Headwinds And Geopolitical Risks Muddle IPO Plans
• Investors Sue JUUL In Del. Chancery To Stop Note Conversion
• AmTrust Can't Send Settlement Coverage Fight To Arbitration
• What ESG Investing Ruling Means For Fiduciaries
• 6 Firms Guide Argentine Airline Flybondi's SPAC Launch
• Australian Ex-PwC Partner Banned 8 Years In Tax Plan Leaks
• 4 Firms Guide French Biotech Firm Abivax's $236M US IPO
• Taxation With Representation: Skadden, Cravath, Latham
• Get Caught Up: Top Stories From The Bankman-Fried Trial
• Canadian Firm To Pay SEC $2.8M Over Short-Selling Claims
• Qihoo Investors Seek Class Cert. In $9.3B Merger Suit
• SEC Says Jury Should Hear First 'Shadow Trading' Case
• Franchise Group Investor Seeks Appraisal Of $2.6B Merger
• Failed SPAC Files For Ch. 15 After Investor Class Action
• NY AG Sues Crypto Cos. Over Gemini Earn Program 'Fraud'
• SEC Drops Case Against Ripple Execs In Rare Dismissal
• Bankman-Fried Hid FTX Con From General Counsel, Jury Told
• Asia-Focused SPAC Lianfeng Holding Files $70M IPO
• Unearthing The Lesser-Known 'Buried Facts' Doctrine
• Newman Suspension Shows Need For Judicial Reform
• Deals Rumor Mill: Chesapeake, CVC Capital, News Corp.
• COVERAGE RECAP: Day 12 Of Sam Bankman-Fried's Trial
• Calif. Embraces Bold New Climate, Consumer, Labor Laws
• FDIC Agrees To Bolster Crypto Risk Oversight After IG Report
• Musk And Cuban Join Call To End SEC's In-House Courts
• 6th Circ. Tests Ex-Merrill Lynch Broker's $7.5M Award Fight
• Trial Expert Says FTX Drained $9B Of Customer Funds
• FIS Brass Hit With Suit Over 'Failed' Acquisition Integration
• Biotech Co. Shareholders To Pay $3M To End SEC Fraud Suit
• 5th Circ. Refuses To Strike Down Nasdaq Board Diversity Rule
• Ex-PE Pro Seeks Top Court Review In Tribal Bond Scam Case
• SEC Silence On Grayscale Win Hints At Bitcoin ETF Approvals
• How 2 Cases Could Undermine The Anti-ESG Movement
• SEC Proposal Would Prohibit Certain Rebates To Big Brokers
• Baker Botts Adds Former White & Case, V&E Attys In Houston
• Asia's 'Sonic' Video Game Distributor Inks $1.2B SPAC Deal
• Citadel Securities Sues SEC Over New CAT Funding Model
• COVERAGE RECAP: Day 11 Of Sam Bankman-Fried's Trial
• Icahn Goes After Illumina's Board In Del. Chancery Court
• CFTC's Top Enforcer Warns: 'Be Prepared For Admissions'
• Stability AI CEO Says AI Expert Merely Has 'Seller's Remorse'
• VCs Renew Bid For Dismissal In Unregistered Crypto Suit
• Bankman-Fried Atty Scores Points Quizzing 3rd Gov't Witness
• Hip-Hop Mogul Says 1MDB Forfeiture Fight Caused $85M Loss
• Susman Godfrey, Hausfeld Split $22M Fee In Libor Case
• Fed's Bowman Throws Cold Water On CBDCs, Stablecoins
• Trump-Linked SPAC To Restate Financial Results After Errors
• Some FTX Customers Strike Deal For 90% Recovery In Ch. 11
• SocGen Says Yen-Libor Rigging Suit Should Be In UK
• Treasury Mulling More Time For Digital Asset Sale Rule
• DeFi Enforcement Is Growing, Despite CFTC Dissonance
• COVERAGE RECAP: Day 10 Of Sam Bankman-Fried's Trial
• Conn. Justices Uphold $57M Award Against 'Fugitive' Trader
• Interactive Brokers Escapes Arbitration Over Alleged Fraud
• Biotech Investors Get Final Nod For $1.4M Settlement
• SEC Flags Cyber Risks, Crypto & AML As Key Exam Priorities
• Catching Up With Delaware's Chancery Court
• Sports Execs' SPAC Sues In Chancery Over Terminated Deal
• California To Roll Out Regime Licensing Crypto Businesses
• Judge Allows Investors To Voluntarily End Funko IPO Suit
• SBF Spent On Celebs, Pols As Bankruptcy Loomed, Jury Told
• Biotech Firm, Energy Producer Eye IPOs Totaling $450M
• SEC's Life Sciences Actions Utilize Novel Tools And Theories
• Smart Medical Device Maker Inks $60M SPAC Merger
• Coinbase Asks To Nix Suit Over 'Nonsuspicious' $2.9B Trades
• DC Judge Won't Grant Ex-JPM Trader Docs, But Chides DOJ
• Investors In Maker Of Failed COVID Test Want Class Certified
• AI-Focused Alpha Modus To Go Public In $175M SPAC Merger
• Fund Managers Taking US Telecom Co. Private In $3.1B Deal
• How And Why Your Firm Should Implement Fixed-Fee Billing
• Paul Hastings Adds Corporate Pros From Goodwin, Cooley
• COVERAGE RECAP: Day 9 Of Sam Bankman-Fried's Trial
• Exxon-Pioneer Deal Heralds Fresh Permian Push For Mergers
• Moody's, S&P Beat Crisis-Era Suit Over Securities Ratings
• SEC Actions Against Musk Are Constitutionally Defective
• Ex-1 Global Chair Admits Role In $250M Ponzi Scheme
• 4 Takeaways From The SEC's New Beneficial-Ownership Rules
• What Fed Supervision Letters Mean For Bank-Fintech Collabs
• BlockFi Was Kept In Dark As FTX Fund Cratered, Jury Hears
• Linklaters Adds Cleary Gottlieb Latin American Atty In DC, NY
• SEC Targets Short-Selling Disclosures With 2 New Rules
• Judicial Independence Needs Defense Amid Political Threats
• Bankman-Fried Notches Small Victories In Star Witness Cross
• COVERAGE RECAP: Day 8 Of Sam Bankman-Fried's Trial
• Crypto Trader Cops To Novel 'Cherry-Picking' Charges
• GOP Rep Threatens To Subpoena SEC On Overseas ESG Work
• Barnes & Thornburg Adds 2 Health Care Finance Attorneys
• Bankman-Fried Atty Parries Star Witness As Feds Object
• Insider Trading Claims Are 'Grasping At Straws,' Retailer Says
• FTC, CFTC Sue Ex-CEO Of Bankrupt Crypto Lender Voyager
• How Law Firms Can Use Account-Based Marketing Strategies
• Fifth Third Asks 2nd Circ. To Spike 'Parasitic' FCA Claims
• Leveraging Municipal Bonds For Green Energy Finance
• PIPE Investors Canceling Investments In Trump-Linked SPAC
• Malaysia Rejects Goldman's Arbitration Claim Over 1MDB Deal
• Deals Rumor Mill: Colombier, Truist, Virgin Australia
• COVERAGE RECAP: Day 7 Of Sam Bankman-Fried's Trial
• SEC Says Ex-Glass Co. CFO Must Face SPAC Deal Suit
• OCC Taps Enforcement Chief For Big-Bank Supervision Role
• SEC's Courts Would Baffle Nation's Founders, Justices Told
• Judge Trims Investor Suit Against Crypto Lender Nexo
• CFTC Studying Spillover Effects Of Basel III Reforms
• SEC Says Coinbase Answer On Rules Is With Commissioners
• State Regulators Back SEC's Howey Theory In Coinbase Case
• Broker Says Ex-Employer's FINRA Dispute Can't Go To Court
• 'Sam Told Me To': Ellison Says Bankman-Fried Directed Theft
• Aequitas Exec Says Payback Bid Is 'Financial Death Penalty'
• Strategic Succession Planning At Law Firms Is Crucial
• S3 Partners Sued In Del. For Books On Fund Uses
• SEC Orders Wilmington Trust To Pay $1.3M Over Fee Conflicts
• Willkie Adds Kirkland Private Equity Ace In Texas
• 2 Firms To Lead Investor Suit Over Myovant-Sumitomo Deal
• Chinese Hygiene Products Biz Lands $500M SPAC Merger
• COVERAGE RECAP: Day 6 Of Sam Bankman-Fried's Trial
• FTX Investors Can't Pause MDL Against Celeb Endorsers
• Genesis Judge Approves $175M Settlement With FTX In Ch. 11
• 3AC Bid To Consolidate Claims Falls Short In BlockFi Court
• Kirkland, Latham Steer Birkenstock's $1.5B IPO
• SEC's AI Proposal Could Harm US Markets, Industry Warns
• Coinbase Accused Of Not Protecting User From Hacker
• Tax Software Co., Execs Beat $8.4B PE Buyout Suit, For Now
• How A 'Boxed In' Bankman-Fried Can Argue His Case
• Catching Up With Delaware's Chancery Court
• Cannabis Software Co. Shareholder Drops Merger Litigation
• Bankman-Fried Dishonest From Day 1, Star Witness Tells Jury
• Calif. Atty Indicted In Nearly $1B Alleged Ponzi Scheme
• Justices Hint At Siding With Whistleblower Against UBS
• COVERAGE RECAP: Day 5 Of Sam Bankman-Fried's Trial
• 5 Things To Know About High Court Whistleblower Case
• Marketers Call SEC's $49M Crypto Fraud Suit A 'Power Grab'
• FTX Investors Say Celebs Are 'Scared' To Pause MDL
• Electric Vehicle Co. Faraday Inks $7.5M Shareholder Deal
• Jailed Film Exec's Early Release Bid 'Outrageous,' Judge Says
• Judge Morris Reflects On 20 Years Hearing Bankruptcy Cases
• Bankman-Fried Posted Lie While Directing $8B Con, Jury Told
• Ex-Goldman Exec Heads To Malaysia Before 1MDB Sentence
• IronNet Investors Sue In Chancery After $137M SPAC Flop
• MVP: Sullivan & Cromwell's Bob Downes
• Ackman To Test Viability Of 'SPARC,' An Alternative To SPACs
• COVERAGE RECAP: Day 4 Of Sam Bankman-Fried's Trial
• SEC Sues To Force Musk Testimony On Twitter Stock Buys
• Texas Targets Crypto Project For Securities Sales, Russia Ties
• Investors Claim Robinhood Stopped Trades In Suit Revival Bid
• Slack Investor Forges Ahead After High Court Ruling
• 2 Firms To Lead Consolidated SentinelOne Accounting Suit
• Crypto Biz Prime Core Clears Ch. 11 Disclosure Hurdle In Del.
• Despite 'Good Day' At High Court, CFPB Not Out Of Woods Yet
• Feds' Long-Term Debt Proposal Could Be Costly For US Banks
• Investors Get Last Shot At Crypto Promos Suit
• 'I Love You, Sam': FTX Coder Recounts Struggle To Stay Loyal
• SPAC Investors To Settle Busted Fertitta Deal Suit For $12.5M
• Feds Take Aim At FTX Jets As BlockFi Presses Ch. 11 Claims
• Celebrities Fight Bid To Delay FTX Investors' MDL
• Bankruptcy Judge Who Handled Madoff Cases To Retire
• Maximizing Law Firm Profitability In Uncertain Times
• Q3's Top 10 Deals Led By J&J's $42B Tylenol Owner Spinoff
• Deals Rumor Mill: BP, AT&T-Direct TV, Carlyle Group
• BCLP Adds Davis Wright Financial Services Atty In NY
• MVP: Skadden's Michelle Gasaway
• Richards Layton Nixed As Debtor Counsel In Lordstown Ch. 11
• COVERAGE RECAP: Day 3 Of Sam Bankman-Fried's Trial
• Justices Urged To Halt All In-House Cases Until Congress Acts
• Covington Brings On Ex-Mintz Capital Markets Pro In NY
• 2 Firms Build Guardian Pharmacy's $115M IPO On NYSE
• Atty Says Bankman-Fried's No 'Bad Guy' As FTX Trial Opens
• Bank Sues Ginnie Mae, HUD Over Reverse Mortgage Rescue
• Fintech Cos. Should Consider Asset-Based Financing For RE
• SEC Risk Alert Provides Helpful Info For Adviser Exam Prep
• NFT Hoops Site Shares User Data With Meta, Suit Claims
• Polsinelli Adds Three-Atty Markets Team From Bradley Arant
• 4 Firms Build $147M Merger Between SPAC And Ag Tech Biz
• MVP: Kirkland & Ellis' Sophia Hudson
• Airbit Co-Founder Gets 3 Years, 4 Mos. For Crypto Fraud
• In-House Expert Joins Loeb & Loeb Corporate Team
• COVERAGE RECAP: Day 2 Of Sam Bankman-Fried's Trial
• SEC Loses Bid To Immediately Appeal Ripple Labs' Partial Win
• SEC Says Tokens On Coinbase Met 'Essence' Of Securities
• Chinese Tutoring Co. Escapes Investor Suit Over Crackdown
• Crypto Mining Investment Was $49M Scam, Calif. Man Says
• Long Before FTX, Criminal Cases Have Complicated Ch. 11
• Celsius CEO Defends Crypto Token Deal In Ch. 11 Plan
• A Guilty Verdict For SBF Could Put FTX In Line For Restitution
• Fla. Man Gets 6 Years After Copping To $55M CoinDeal Fraud
• Fashion Co. Torrid Execs Hit With Derivative Shareholder Suit
• Bankman-Fried Declined Plea Talks, Feds Say Amid Jury Picks
• Meet The FTX Insiders Who Could Seal Bankman-Fried's Fate
• Green-Tech Investor To Go Public Via $450M SPAC Merger
• Bankman-Fried Sues Excess Insurer For Legal Costs
• Celsius Founder Mashinsky's Fraud Trial Set For 2024
• MVP: Debevoise's Paul Rodel
• Sullivan & Cromwell, Fenwick Draw Scrutiny In FTX Debacle
• COVERAGE RECAP: Day 1 Of Sam Bankman-Fried's Trial
• Judge Hands SEC Some Wins In Crypto Pump-And-Dump Suit
• Fidelity Pays $1.6M To Settle Regulators' Meme Stock Claims
• 11th Circ. Won't Rethink Tupperware Investors' Suit
• SEC's Deal With Ex-Morgan Stanley Broker Gets Green Light
• Celsius Network Seeks OK For Ch. 11 Reorganization
• Drug Co. Investors Settle Clinical Trial Suit For $2.3M
• Musk Can't X Out All Of Investors' Fraud Suit Over Twitter Buy
• Better.com Gets Whistleblower Retaliation Suit Trimmed
• Uncertainty Still Looms For IPOs Despite Shutdown Reprieve
• 5th Circ. Ruling Reminds Attys That CBP Can Search Devices
• Bankrupt Fintech's Creditors Can Probe 'Fraudulent Scheme'
• Bankman-Fried Can't Blame Attys In Openings, Judge Says
• 11th Circ. Stops Ga. VC Fund's Black-Only Business Grants
• SEC Says Pa. Funds Sold $99M Worth Of Unregistered Notes
• Meet The Attorneys Helming The Bankman-Fried Trial
• MVP: Cravath's Michael E. Mariani
• FirstEnergy Derivative Suit Paused Over Objector's Appeal
• What Crypto Attys Will Be Watching During The SBF Trial
• Sam Bankman-Fried's Journey From FTX CEO To Trial
• In Bankman-Fried Criminal Trial, 'Intent Is Everything'
• Meet The 'Indefatigable' Judge Handling SBF's Criminal Case
• Justices Won't Weigh In On 'Foreign' Commodities Claims
• Kirkland-Led Birkenstock Launches Plans For $1.5B IPO
• 3 Firms Steer Tech Biz Seeking Paris IPO Worth Up To €1.25B
• Law360 MVP Awards Go To 171 Attys At 76 Firms