Capital Markets Archive » November, 2023

Capital Markets - November, 2023

308 articles

• PCAOB Fines PwC Units In 1st Actions Against Chinese Firms
• SEC Inks Deal In Suit Involving 'Sopranos' Star's Ex-Husband
• Expensify Hid Downturn Risks Ahead Of $263M IPO, Suit Says
• Del. Power Struggle For NY Lithium Battery Co. Heats Up
• PDVSA Says VR Capital Fraud Suit Must Be Nixed
• FTX Says IRS Tax Estimate Is $24B Too High
• What Lawyers Must Know About Calif. State Bar's AI Guidance
• Industry Must Elevate Native American Women Attys' Stories
• CFPB's Chopra Warns AI Could Spark Flash Crash, Bank Runs
• Genesis Gets OK To Resolve $1B In Three Arrows Claims
• Unsecured Creditors Oppose Vesttoo's Bid To Hire Israeli Firm
• Deals Rumor Mill: Humana-Cigna, Shein IPO, Occidental
• Loeb & Loeb Corporate Co-Leaders Named Next Firm Chairs
• Brown Rudnick Adds Tax Partner To DC Office
• ClimateRock Axes SPAC Merger With UK Green Energy Firm
• LifeVantage Stockholders Sue In Del. Over Board Protections
• BofA Unit Fined $24M In Treasuries Spoofing Case
• A Breakdown Of The OCC's New Venture Lending Pointers
• StraightPath Execs Charged In $386M IPO Fraud Scheme
• OCC's Hiring Of Ex-Fintech Official Could Get House Scrutiny
• GOP AGs Say Nasdaq Board Diversity Rule Is Unconstitutional
• CFPB's 'Smart' Open Banking Plan Gets GOP Nod
• Hemp Co. Execs Agree To SEC Injunction In $15M Scam
• Justice Thomas Eyes Public Rights Rule In SEC Courts Case
• Investors Say Co. Lied About Ultrasound Tech Prior To Merger
• Bank-Chartered SoFi To Halt Crypto Services By Year End
• Crypto Biz Prime Core Settles Ch. 11 Tokens Claim
• SEC Accuses Ex-Real Estate Co. Exec Of WeWork Stock Fraud
• Citgo Parent's Reissue Of Stock Certificate OK'd By Chancery
• Conn. Financial Adviser's New Firm Stole Clients, Suit Says
• FTX Gets Approval To Put $744M In Crypto On The Market
• LPL Taps Wells Fargo Unit's Compliance Head As New CCO
• Two More SPACs Will Dissolve As Liquidations Mount
• Elliott Reveals $1B Phillips 66 Stake, Seeks 2 Board Seats
• Crypto, Audit Cases Dominate SEC's Enforcement Focus In '23
• FDIC Faces GOP Demand For Workplace Settlement Details
• Justices Cast Doubt On Future Of SEC's In-House Courts
• Perkins Coie Rehires MoFo Venture Capital Partner In LA
• Understanding Discovery Obligations In Era Of Generative AI
• Blackstone Buying Pet Care Co. Rover In $2.3B Deal
• KKR To Pay $2.7B For Remaining Global Atlantic Stake
• Genesis Nears Deals With Parent Co., Creditors
• Law Firm Asks 9th Circ. To Curb SEC's Crypto 'Harassment'
• Soccer Star Ronaldo Hit With $1B Suit Over Binance Promo
• SEC Adopts Dodd-Frank Era Securitization Conflicts Rule
• Fund Manager Sues SBA Over PPP Forgiveness Denial
• Software Firm Veea To Go Public In $281M SPAC Merger
• Judge Won't Quash Service In $80M Crypto-Forex Theft Suit
• Fajr Capital-Led Consortium Paying $1B For Aster's Gulf Biz
• Bannon Ally Says He Won't Flee If Released In $1B Fraud Case
• 5 Steps To Meet CFTC Remediation Expectations
• Australian Solar Energy Firm Raises Range For $45M US IPO
• Law Firm Leaders Cautiously Optimistic Heading Into 2024
• The 2023 Law360 Pulse Leaderboard
• Asserting 'Presence-Of-Counsel' Defense In Securities Trials
• Nelson Mullins Hires Venture Capital Partner In Boston
• NY Judge OKs $1.65B Voyager Settlement With FTC
• SEC's High Court Opponent Is A Supreme Court Newcomer
• Perkins Coie Inks Prelim. Deal In Cryptocurrency Class Action
• Celsius Creditors Balk At $281K In Bidder's Ch. 11 Fees
• Did OCC Get Duped? Ex-Fintech Official's Resume Unravels
• FTX Settles BlockFi Dispute Over $744M Crypto Sale
• Judge OKs Investor Attys' $19.2M Fee For Libor-Rigging Deals
• Ex-JPMorgan Traders Want CFTC Spoofing Case Kept On Ice
• Investment Co. Can't Send Coverage Suit Back To State Court
• SEC Can't Get More Time To Fix 'Defects' In Buyback Rules
• Elliott Slams Crown Castle For 'Profound Lack Of Oversight'
• Robinhood User Says Platform Withheld Info From Investors
• Investor Attys Want $19.2M For $74M Libor-Rigging Deals
• Goodwin Procter Gets Ex-SEC Atty From Morrison Foerster
• Ohio Firm Accused Of Filing False Doc In Shareholders' Fight
• Catching Up With Delaware's Chancery Court
• Beard Energy Transition SPAC Axes Tie-Up With Solar Biz
• Binance Founder Can't Yet Return To UAE Amid Bail Dispute
• Split 2nd Circ. Partially Revives Nine West Buyout Fraud Suit
• Crypto Has Democratized Trading In Bankruptcy Claims
• Paul Hastings Hires NY Investment Funds Atty From Skadden
• UK Litigation Roundup: Here's What You Missed In London
• Binance Founder Poses 'Serious Risk Of Flight,' DOJ Says
• Genesis Seeks $689M Clawback From Ex-Crypto Partner
• Major Shareholders In Water Co. Can't Dodge Self-Dealing Suit
• Up Next At High Court: SEC Courts, Repeat Offender Sentences
• Despite $4.3B Plea, SEC Proceedings Still Loom Over Binance
• Icahn Investor Sues In Del. Over Alleged Ponzi Scheme
• IPO Market Still Kicking As End Of 2023 Draws Near
• The Case For Post-Bar Clerk Training Programs At Law Firms
• NYSE Seeks To Boot WeWork Shares From Exchange
• What SEC Retreat In Ripple Case Means For Crypto Regulation
• Derivative Bodies Want BoE Info On Clearing House Reforms
• Rabobank Fined €26.6M By EU For Bond-Trading Cartel
• GenesisCare Gets OK For Ch. 11 Plan To Slash $1.5B In Debt
• NJ Auditor Escapes RICO Claims In Crypto Investor Row
• Smart Window SPAC Investors Sue Cantor, Lutnick In Del.
• TV Azteca Ch. 11 Dismissed Due To 'Bona Fide Dispute'
• Celsius Network To Increase Creditor Payouts In Ch. 11 Exit
• Mining Co. Says It Will Challenge IRS Plan To Tax Award
• SEC Defends Voting Disclosure Changes Before 5th Circ.
• DOJ Nabs Basquiat Painting In Malaysian Fund Clawback
• Attorneys Have An Ethical Duty To Protect The Judiciary
• Feds Seize $9M In Stablecoins Tied To 'Pig Butchering' Scams
• Battery Manufacturer Going Public Via $490M SPAC Merger
• Meme Frenzy 'No Secret' Before Robinhood's IPO, Judge Says
• Ellenoff, Kirkland Steer Colombier's Upsized $150M SPAC IPO
• Binance To Pay $4.3B, Founder Takes Plea To End DOJ Probe
• UMG Beats Rap Duo's Royalty Suit Following Spotify Deal
• $19M Settlement Proposed In Del. For Materials Co. Sale Suit
• BuzzFeed Again Asks Chancery To Nix Stock Arbitration
• Ex-FTX Europe Exec Says Ch. 11 Filing Was Unauthorized
• Puerto Rico Deal Should Nix Pension Suits, 1st Circ. Told
• SEC 'Shadow Trading' Case Survives Exec's Early Win Bid
• Catching Up With Delaware's Chancery Court
• Paths Forward For RE Buyers In Turbulent Market Conditions
• Apple Conspires Against Crypto On Cash Apps, Consumers Say
• Why The Debt Maturity Wall Is Still A Figment, For Now
• When Courts Engage In Fact-Finding At The Pleading Stage
• Mexican Fintech Joins Wave Of Canceled SPAC Mergers
• Tempur Sealy Certifies FTC Compliance On $4B Mattress Deal
• Canadian Cannabis Co. Gets Grouped Investor Suit Tossed
• A Deep Dive Into FSOC's Expansion Of Nonbank Oversight
• Citi GC Sees Compliance Reporting Reshuffle As A Boon
• Chancery Grants Full $18M 'Mootness' Fee To Politan Counsel
• Crypto Co. Says Suit Over $100M Hack Should Be In Estonia
• Ex-Oil Co. Exec, SEC Settle Revenue-Pumping Scheme Claims
• YouTuber Logan Paul Switches Counsel For NFT Fraud Claims
• Kenvue Should Have Raised FDA Probe Before IPO, Suit Says
• BlockFi Wants Liens Acknowledged In FTX Asset Sale
• Danaher's $5.7B Abcam Buy Gets The Green Light To Close
• Health Care Holding Biz To Go Public Via SPAC Merger
• Fed's Barr Sees 'Very, Very Small' Credit Cost From Basel Plan
• 9th Circ. ERISA Ruling Informs DOL's New Fiduciary Proposal
• Global Securities Watchdog Tackles Crypto Bundle Conflicts
• AI Can Help Lawyers Overcome The Programming Barrier
• Are CCOs Really In The SEC's Crosshairs?
• Taxation With Representation: Skadden, Goodwin Procter
• ECB Head Calls For US-Style Financial Markets Regulation
• Covetrus Investors Say CD&R Took Advantage In $4B Merger
• SEC Adopts Conflict Of Interest Rules For Clearing Agencies
• Olaplex Brass Misled Investors On Formula Change, Suit Says
• State Regulators Target 'Gamified' Crypto Certificate Scheme
• 3 Arrested For Complex Bank Fraud, Crypto Laundering Scam
• Goldman Investors Drop Suit At Center Of High Court Battle
• Alibaba Cancels Cloud Unit's Spinoff Amid US Chip Controls
• 2nd Circ. Holding Could Disrupt SEC Disgorgement Methods
• Investor Connected To AG Paxton Pleads Not Guilty To Fraud
• Deals Rumor Mill: Starlink, Character.AI, 'Russia's Google'
• Cancer Drug Co. Says Efficacy Talk Didn't Mislead Investors
• FDIC Faces Congressional Probe Into Toxic Workplace Claims
• Susman Godfrey Vies To Help Lead $7.3M Crypto Suit
• Ex-Platinum Portfolio Manager Avoids Prison In Fraud Case
• Lawmakers Clash Over The Scope Of Illicit Finance In Crypto
• Nikola Founder Denies 'Sinister Motive' Ahead Of Sentencing
• Mixmax Says Revised Chancery Derivative Suit Lacks Support
• NY Adopts New Guidance On Listing Of Virtual Currencies
• TCW, Execs Hit With Chancery Suit Over SPAC Merger Bust
• DOL Rejects Biz Groups' Request To Slow Fiduciary Rule
• Breaking Down The SEC's 2024 Examination Priorities
• Bracewell Hires Latham Oil And Gas Pro In DC
• Preparing Law Students For A New, AI-Assisted Legal World
• Ropes & Gray Gains New Private Funds Partner In DC
• Renault To Spark Investors With Ampere EV Unit IPO
• Senators Slam 'Skanky,' 'Creepy' FDIC Office Culture
• Freelancing Co. Toptal Wins $16M At Trial Against VC Backer
• Investors Denied Class Cert. In Robinhood Meme Stock Suit
• SEC Wants $49M Crypto Marketer Fraud Kept Suit Alive
• SEC Fines Charter Communications $25M For Stock Buybacks
• BTIG Accuses Rival Broker StoneX Of Vast Trade Secret Theft
• Core Scientific Gets OK For $37M Ch. 11 Backstop Funding
• Whistleblowers Helped Fuel $5B SEC Enforcement Haul In '23
• TV Azteca Ch. 11 Mediation Ends Without Deal On Notes
• SmileDirectClub Investors Say Ch. 11 Releases Are Too Broad
• FTX Strikes Deal To Recoup $22.5M In Charitable Donations
• Trump-Tied SPAC Shows Losses As Parties Vow To Save Deal
• Firm Can't Block SEC's $30M Unregistered Dealer Suit
• Developer Of 'Mutant Ape' NFT Pleads Guilty In Fraud Case
• SolarWinds Ushers In New Era Of SEC Cyber Enforcement
• General Counsel Need Data Literacy To Keep Up With AI
• Gibson Dunn Is The Latest Firm To Tout Saudi Arabia Launch
• Cisco's $28B Bid For Splunk Goes Unchallenged
• Seattle Software Co. Misled Investors On Merger, Suit Says
• Crypto Mixer Sanctions Stretch Authority, Users Tell 5th Circ.
• Judge Won't Convert Israeli Fintech Vesttoo Ch. 11 To Ch. 7
• FTX Pushes To Pay Ad Hoc Creditor Group's Fees
• SafeMoon Founder To Remain Jailed And Transferred To NY
• DOJ Probing KKR Over Premerger Filings, Board Overlaps
• Cboe Unit To Launch Margined Bitcoin And Ether Futures
• Effective Altruism Org Seeks To Quash FTX Subpoena
• Canadian Silica Maker, Singaporean AI Firm Ink SPAC Deals
• Creditors Say Puerto Rico Gov't Stopped Paying Utility Debt
• Genesis Hits $33M Deal On Three Arrows $1B Ch. 11 Claim
• Digital Asset Regs Define 'Broker' Too Broadly, IRS Told
• Davis Wright Hires Morgan Lewis Atty With FINRA Experience
• Catching Up With Delaware's Chancery Court
• Safety Testing Group UL Looks To Make Mark On IPO Market
• 6 Firms Build CA$257M Sale Of Capital Markets Software Biz
• A Tale Of 2 SVB Reports: Where The Fed's Barr And OIG Differ
• Willkie, Davis Polk Lead Hamilton Group's $225M IPO
• Crypto Firms Face Tougher Due Diligence Post-FTX
• Ghanaian Businessman Says $60M Award Can't Be Enforced
• SPAC's Ch. 15 Is A Bid To Dodge Class Action, Investor Says
• Latham, Cooley Lead Cargo Therapeutics $281M IPO
• Chinese Luxury EV Brand Zeekr Revs Up US IPO
• Drug Lab Brass Face Investor Suit Over DOJ Primate Probe
• Point Biopharma Investor Sues For Info On Lilly's $1.4B Buy
• SafeMoon Founder's Release Paused After Feds' Challenge
• Bitter Shareholders Sue Coffee Co. Dutch Bros' Top Brass
• Pro-Market Groups Prod 5th Circ. To Ax SEC Hedge Fund Rule
• OneCoin Legal, Compliance Exec Cops To Crypto Fraud
• Virtual Reality Co.'s $655M SPAC Merger Plans Unravel
• Astra Space Founders Aim To Pay Fraction Of Prior Value
• Deals Rumor Mill: Shein, Siemens, BioMarin
• Celsius Network Wins Ch. 11 Plan Approval
• Navigating Discovery Of Generative AI Information
• Ex-TD Securities Trader Accused Of Treasuries Market Fraud
• Judge Tosses Investor Suit Over Private Tutoring Ban In China
• Faraday Future's $7.5M Shareholder Deal Gets Initial OK
• Energy Trader Says CFTC Calls Legitimate Trading 'Spoofing'
• SEC Fights Binance's 'Tortured' Try At Evading Lawsuit
• US Trustee Pushes 3rd Circ. For FTX Ch. 11 Examiner
• Penny Stock Firm Can't Duck SEC's Unregistered Dealer Suit
• Ore. Cannabis Biz Sues 'Neobank' Over Bounced Checks
• Don't Let Fenwick And Celebs Slip FTX Suit, Investors Say
• Finding Focus: Strategies For Attorneys With ADHD
• A Look At DOJ's New Nationwide Investment Fraud Approach
• Decoding The Digital Asset Landscape In Bankruptcy
• Simpson Thacher Leads MidCap-Apollo $3.4B Fund Merger
• Investor Tied To Texas AG Hit With 4 More Charges
• EQRx Investor Sues In Del. For Docs On Battered SPAC Deal
• AI Use May Trigger False Claims Act's Public Disclosure Bar
• Dentons Expands New York Office With Venture Capital Pro
• Keeping Tabs On Fight Over Board Diversity Rule At 5th Circ.
• What To Expect From California's Digital Assets Regime
• OCC's Hsu Says Examiner Sway Keeping Bank Busts Away
• SEC's Uyeda Criticizes 'Astonishing' Texting Probe Fines
• CFTC Chair Touts Crypto Record In $4.3B Enforcement Haul
• Genesis Creeps Toward Ch. 11 Disclosure Approval
• Commissioner Says SEC Should Consider New Climate Rules
• Chinese Delivery Co. Can't Escape Securities Class Action
• Buyer Of Discount FTX Claims Says Sellers Reneged On Deal
• Amgen Seeks To Toss Investor Claims Of $10B Hidden Tax Bill
• Ardian Buys $2.1B Portfolio From Canada's CPP Investments
• The 2023 Law360 Prestige Leaders
• How Law Firms Build And Protect Stellar Reputations
• Bankman-Fried Drops Legal Costs Suit Against Excess Insurer
• Why SEC Is Worried AI Could Lead To Recession, Racial Bias
• Workspace Provider WeWork Files For Bankruptcy
• Trial Of Mango Markets Trader Pushed To April 2024
• Big Banks Say New Mexico CDS Suit Is Retread Of $1.9B Deal
• Tufin Investor Attys Want $667K In Fees For IPO Setlement
• Plaintiffs Bar Warns Of 'Dire Consequences' If FINRA Nixed
• US Sanctions Crypto Launderer For Russia Elites, Cyber Gang
• Catching Up With Delaware's Chancery Court
• Piper Sandler Eyes $15M Fine In SEC Recordkeeping Probe
• B. Riley-Linked Battery SPAC Urges Class Suit Toss In Del.
• Shareholder Urges GFL To End Public Market 'Experiment'
• New CFTC Enforcement Policy May Finally Deter Recidivists
• CEO Of New Bed Bath & Beyond Departs After Activist Push
• Libor Fallback To Prime May Increase Corporate Loan Costs
• WeWork Shares Stop Trading For 'Pending' Announcement
• FSOC Revs Up Power To Tag Nonbanks For Tougher Oversight
• SEC And Terraform Joust For Win In Stablecoin Collapse Suit
• CFTC Proposes Lifting Ban Put In Place After MF Global Bust
• Bankman-Fried Faces 'Uphill Battle' Appeal, Decades In Prison
• Reata Inks $45M Deal With Investors Over Failed Drug
• KeyCorp In Talks To Settle SEC Recordkeeping Probe, Too
• 2 Firms Ask To Lead Stanley Black & Decker Shareholder Case
• CFTC Says Ill. Forex Trader Swindled Investors Out Of $275K
• Crypto Coder Denies SafeMoon Fraud As Feds Eye Plea Talks
• Bankman-Fried's Riskiest Bet Was Taking The Stand
• Cannabis Investor Urges Industry To 'Pray For Rescheduling'
• Justices To Hear Arbitration Case Over Dogecoin Sweepstakes
• GCT Semiconductor Going Public Via $661M SPAC Deal
• Shareholder Decries $3.1B Go-Private Deal For Telecom Co.
• Cooley, Paul Hastings Steer Gene Therapy Firm's $100M IPO
• 8 Tips On Mining Disclosures For Foreign Issuers
• SEC Enters New Cyber Era In Case Against SolarWinds, Exec
• RBC Settles SEC's Recordkeeping Deficiency Claims For $6M
• 3 Takeaways From DOL's New Fiduciary Proposal
• Bankman-Fried Found Guilty Of Massive Fraud That Sank FTX
• Trade Groups Drop SEC Disclosure Suit Following Exemption
• Ex-Platinum Portfolio Manager Asks Court For No Prison Time
• $2.6B Casino Investor Asks Chancery To Boot SPAC Manager
• SEC's 'Rapid-Fire' Rulemaking Draws Ire At House Hearing
• Vesttoo Says It Needs One More Month To File Ch. 11 Plan
• Myovant, Sumitomo Call Alleged Skadden Conflict Public Info
• Courts Shouldn't Credit Allegations From Short-Seller Reports
• Deals Rumor Mill: CVC And Waystar IPOs, Carlyle, Alo Yoga
• Key Points From NY Regulators' Crypto Listing Update
• LIVE COVERAGE: Day 18 Of Sam Bankman-Fried's Trial
• Crypto Co. DCG Taps Kramer Levin Vet For NYAG Fight
• JPMorgan Facing Advisory Program, Trading Venue Probes
• US Bancorp In Talks To Settle SEC Recordkeeping Probe
• Bankman-Fried Accused Of 'Bald-Faced Lies' As Trial Wraps
• Banks, Metals Cos. Keep Win In Aluminum Price-Fixing Case
• Seven Creditors Move Closer To Participating In Citgo Sale
• $16.8M Atty Fee OK'd In Societe Generale Rate-Rigging Deal
• Chancery Keeps Some Claims Alive In Katapult SPAC Suit
• Trading Platform Sues CFTC To Lift Election Betting Ban
• House Subpoenas Climate Group Targeting Insurer Investors
• Latest Fiduciary Proposal 'More Targeted,' DOL Official Says
• Judge OKs $8.5M Talkspace Settlement With SPAC Investors
• 2nd Circ. Reverses Extra Disgorgement Order In Fraud Case
• SafeMoon Founders Charged With Massive Crypto Fraud
• AirAsia Parent Seeks US Listing Via SPAC Merger
• Co. Directors Must Beware Dangers Of Reverse Factoring
• Cooley Arrives In Sunshine State With New Miami Shop
• Attorneys, Law Schools Must Adapt To New Era Of Evidence
• Willkie-Led Hamilton Insurance Targets $255M IPO
• COVERAGE RECAP: Day 17 Of Sam Bankman-Fried's Trial