Capital Markets Archive » September, 2024

Capital Markets - September, 2024

294 articles

• SEC Says Ex-Church & Dwight CEO Misled On Independence
• 9th Circ. Partly Revives Crypto Investor's Suit Against AT&T
• SEC Fines Moloney Securities, Sues Ex-Broker In Reg BI Case
• TD Securities To Pay $28M In Treasuries Spoofing Settlements
• Latham, Davis Polk Steer AI-Focused Chipmaker's IPO
• 2 Crypto Think Tank Execs To Step Down At End Of Year
• Private Trading Platform Scraps SPAC Merger In Favor Of IPO
• SEC Says Accountant Aided Tingo Group's Fintech Fraud
• CoinShares Group General Counsel Steps Down
• Missouri Drops Appeal Intended To Save ESG Regulations
• Bed Bath & Beyond Investors Lose Bid For Class Cert.
• Payward And The Secondary Crypto Transaction Confusion
• Ropes & Gray, Kirkland Guide PE-Backed Education Co.'s IPO
• SEC Fines LA Man In Truth Social-Linked Insider Trading Case
• PE-Backed IT Provider Ingram Micro Files Long-Awaited IPO
• Schwab Nears Deal In Antitrust Suit Over TD Ameritrade Buy
• AI May Limit Key Learning Opportunities For Young Attorneys
• Binance Founder Zhao Released From Federal Custody
• Corporate Raider Accused Of Shirking $180M SEC Judgment
• Elliot Unit To Pay $7.29B As Citgo Parent Co. Sale Looms
• SEC Says Ex-Chewy Exec Inside Traded On Pet Insurer Deal
• CFTC Fines Olam Group $3.25M Over Cotton Sales Reports
• SEC Drops Case Against Marcum CPA After High Court Ruling
• SEC Fines Firms, Sues Ex-Reps' Over Cherry-Picking Scheme
• FTX Users Say Binance Manipulated Market To Spark Collapse
• UK Man Indicted On $4M 'Hack-To-Trade' Scheme
• Mango Markets Crypto Cos. Ink $700K Deal Over SEC Claims
• Musk Skirts Sanctions In Missed Twitter Deposition, For Now
• CFTC Accuses Firms Of $3.6M Retail Forex Fraud
• CFTC Fines Futures Firm $650K For Botched Records, Trades
• Early Trump Media Backer Dumps Shares As Lockup Expires
• Puerto Rico Utility Creditors Seek OK For Bond Claims Suit
• Life Sciences Firms Energize IPO Market As Recovery Builds
• Polsinelli Adds Debt Finance Shareholder In Denver
• What's In The Cards For CFTC's Election Betting Case
• Ault Disruptive To Dissolve After Failing To Ink SPAC Deal
• SEC Fines Cassava $40M Over Alzheimer's Treatment Claims
• Cannabis REIT Beats Investor Class Action For Good
• 2nd Circ. Questions Crypto Co.'s 'Control' In Scam Token Suit
• Tornado Cash Developer Must Face Criminal Case
• Sen. Warren Presses OCC, Fed For Tighter Leash On NYCB
• Donziger Unveils Plan To Launch Impact Litigation Fund
• SEC Fines DraftKings $200K Over CEO's Social Media Blasts
• Fintech Firm Can't Dodge Investor Suit Over Lending Program
• Healthcare REIT Defeats Investor Suit For Good
• Chancery Tosses Carvana Suit Alleging Faulty Sales
• SEC Scores Partial Win In Suit Over Blockchain Co.'s ICO
• Obesity Drug Developer Leads 2 Upsized IPOs Totaling $310M
• VivoPower Keeps HQ In UK To Qualify For $21B Gov't Program
• Investor Ordered To Deposit $336K In Pot Co. Contract Suit
• Nvidia Seeks 'Unworkable' Pleading Standard, Justices Told
• Qualcomm Eyes Massive Buyout Of Intel, Plus Other Rumors
• Conn. Jury Finds Oil Trader Guilty In Petrobras Bribery Scheme
• Kubient Case Shows SEC's Willingness To Charge Directors
• Southwest Airlines Touts Big Changes Amid Activist Pressure
• Basel Endgame Rules: A Change Is Coming
• SEC Fines Alphabet, Others Over Stock Ownership Reports
• Sullivan & Cromwell Didn't Ignore FTX 'Red Flags,' Report Says
• Basel Edits 'Encouraging' But Incomplete, Republicans Say
• Feds Urge Judge Not To Ax Novel Insider Trading Conviction
• Kraken Seeks Quick Appeal Of Dismissal Denial In SEC Suit
• Gramercy Tells Del. Court Don't Capitulate To Citgo Bidders
• Terrorism Victims Sue For Share Of $4.3B Binance Plea
• Baker Botts, Latham Lead Natural Gas Producer's $270M IPO
• Accountant Used Fake Tax Docs For Mortgage, Feds Say
• Feds Say 'Wall Of Evidence' Supports Petrobras Bribery Case
• UpHealth Wins Most Of $115M Award In Glocal Merger Dispute
• IP Protection Firm's $426M SPAC Merger Is Scrapped
• E-Bike Maker Argues In Del. Supreme Court To Salvage Sale
• Mango Markets Plans $500,000 CFTC Settlement Offer
• Cancer Detection Biz To Go Public Via $694M SPAC Merger
• NYSE Cancels Proposal To Extend SPAC Merger Deadlines
• What PCOAB's Broadened Liability Rule Means For Auditors
• Round-Canopy Parachuting Makes Me A Better Lawyer
• Jones Day Leads Orange Telecoms On Exit From NYSE Listing
• Bank Regulators, SEC Face GOP Inquiry Over Crypto Bulletin
• 'Be Careful What You Wish For' Post-Jarkesy, SEC Atty Says
• Athlete Investment Co. Gets Claims Nipped In $1M Fraud Suit
• SEC Orders Crypto Cos. To Pay $700K Over Stablecoin Offers
• 3 Takeaways From Gensler's Big Day Before The House
• SEC Fines Weedmaps' Parent Co. $1.5M Over User Metrics
• 'Joker' Producer's Broker To Pay $60M In Ponzi Scheme Suit
• Feds Say BitMEX Should Owe $428M For Flouting AML Rules
• Norfolk Southern Says Stock Drop Suit Based On 'Hindsight'
• Star Witness Against Bankman-Fried Gets 2 Years In FTX Case
• Commercial REIT Unveils $251M IPO As Pipeline Builds
• Why Now Is The Time For Law Firms To Hire Lateral Partners
• SEC, CFTC Issue $118M Fines In Latest Text Message Actions
• 3rd Circ. Probes SEC's 'Close To Vacuous' Reply To Coinbase
• Credit Suisse Can't Ditch Investor Fraud Suit, But PwC Can
• Crypto Miners Must Keep Fighting SEC's $18M Fraud Claims
• Coinbase Brings On Ex-Citadel Legal Chief With SEC Chops
• Mallinckrodt Brass Can't Avoid Investor Suit Over 2nd Ch. 11
• Ex-Adviser Can't Seek Due Process Update, Justices Told
• Petco, Shareholders Battle In Chancery Over Controller Clout
• Adviser To Pay SEC $1.8M Over Temu Parent Co. Short-Selling
• CFTC Fines Piper Sandler $2M In Latest Text Messaging Action
• Natural Gas Co. Must Pay $6.8M To Ex-Trader In Bonus Fight
• Davis Polk Vows Ex-Clerk Won't Touch Crypto Merger Suit
• Shkreli Told To Provide More Info On Wu-Tang Album Copies
• Considering Possible PR Risks Of Certain Legal Tactics
• Latham-Led Aerospace Giant StandardAero Preps $1B IPO
• Autism Played Role In Bankman-Fried Case, 2nd Circ. Told
• Ex-Comtech CEOs Push For New Board, Strategic Changes
• Tempur Sealy Sets Divestiture Plan Ahead Of FTC Court Battle
• German Biotech Biz Aims For €132.7M Valuation In IPO
• Springer Nature Aims For €4.7B Valuation In German IPO
• 3rd Circ. CFPB Ruling Threatens Securitization, Justices Told
• EV Battery Co. Hit With $207M Default Loss For Lack Of Attys
• SEC To Seek Sanctions For Musk Deposition 'Gamesmanship'
• Judge Won't Toss Fraud Suit Against Crypto-Forex Co. Execs
• NFT Buyers Bring Securities Suit Against Crypto Co. OpenSea
• IPO Trio Looks To Raise $536M Combined As Autumn Begins
• Agriculture Tech Biz's $147M SPAC Merger Is Scrapped
• Fed's Surprise Rate Cut Gives M&A Markets Needed Relief
• US Chamber Warns Del. Justices On TC Energy Case Fallout
• 2 SEC Commissioners Object To Whistleblower Award Secrecy
• Silvergate Wants Activist Investor's Board Seat Play Blocked
• How Increased Sanctions Scrutiny Is Affecting Debt Markets
• What The SEC Liquidity Risk Management Amendments Entail
• It's No Longer Enough For Firms To Be Trusted Advisers
• CFTC Warns Of 'Profound' Harm In Election Betting Appeal
• Crypto Exchange Must Refund Bitcoins, But In 2013 Dollars
• Judge Gives Dow Jones Win In Article Thievery Case
• Halted DOL Fiduciary Regs Could Open Lane For SEC Action
• No Coverage For Santander Shareholder Suit, Allianz Says
• Weil Continues Building Funds Group With Ex-Goodwin Atty
• Feds Oppose Overturning Guilty Verdict For Crypto Trader
• Pink Floyd, NFL And PE Take Limelight In Latest Deal Rumors
• SEC Says Unregistered DeFi Project Pooled $1B In Crypto
• PureCycle Investors Seek Final OK Of $12M Settlement
• Split 5th Circ. Upholds Oxy's $38M Win Over Wells Fargo Bank
• SEC Must Clarify Murky Crypto Rules, Ex-Officials Tell House
• FTX Auditor Prager Metis Settles SEC Charges For Negligence
• Loper Bright Undercuts SEC Climate Rule, Fracking Cos. Say
• SEC Files Its 1st Suits Over 'Pig Butchering' Crypto Scams
• Fed's Powell Sees Final Basel Rule Less Than 1 Year Away
• SEC Settles Latest Covington Info Theft Case For $33K
• Conn. Investment Adviser Stole Secrets, Ex-Employer Says
• SEC's Equity Trading Reforms Allow Half-Penny Stock Pricing
• 7 Takeaways For Investment Advisers From FinCEN AML Rule
• Biotech Co. Escapes Stock-Drop Suit Over COVID-19 Drug
• Clifford Chance Hires Investment Management Attorney In DC
• Federal Judge Won't Abstain From Pot Payment Co. Dispute
• Silvergate Bank Parent Co. Files Ch. 11, Plans Liquidation
• Chancery Sides With Truth Social Backer In SPAC Deal Payout
• FDIC, OCC Cement New Bank-Merger Policy Guidelines
• FDIC Proposes Rule On Bank-Fintech Partnership Risks
• VivoPower Plots $1.13B Merger After Unit's SPAC Deal Closes
• SEC Fines 12 Muni Advisers $1.3M In Texting Probe Actions
• Freshfields-Led Warburg Pincus Sells IT Biz Shares For €153M
• Euronext Buys UK Stock Market Research, Data Software Biz
• 70% Of Insurance Underwriters Fear Replacement By AI
• Top UK Banks Push Payments Infrastructure Reform Plan
• Skadden, Freshfields Guide Midea's $4B Hong Kong Listing
• Ex-MoviePass CEO Admits $9.95 Plan Too Good To Be True
• CEO's AI Fraud Detection Tool Contract Was Fraud, Feds Say
• Icahn Enterprises Beats Investor Suit Over Dividend Program
• Pot Co. Execs Go To 9th Circ. In Investment Scam Case
• Missouri Injunction A Setback For State Anti-ESG Rules
• Michael Best Absorbs 6-Atty Great Plains Startup Boutique
• Milbank Taps SEC Chief Litigation Counsel As DC Partner
• Natural Gas Co. BKV To Raise Up To $315M In IPO
• Finnish Insurer Boosts Buyback To €475M, Extends End Date
• Kennedys Adds 2 Knowledge Management Pros In London
• A&O Shearman Hires Finance Pro From Latham In Paris
• Titanic Shipbuilder Sinks Under Weight Of Debt
• UniCredit Launches €1.7B Share Buyback After Profit Gains
• The 2024 Regional Powerhouses
• Cannabis Co. Nabs $150M '1st-Of-Its-Kind' Credit Facility
• Wells Fargo Unit To Pay $3M Over Unsuitable Trading Claims
• Bankman-Fried Lays Blame On Trial Judge In 2nd Circ. Appeal
• Truth Social Founders Take Trump Fight To Fed Court
• Investors Greenlight Carbon Credit Co.'s $213M SPAC Merger
• SEC Fines Zymergen $30M Over Misleading Pre-IPO Claims
• Trio Of BigLaw Mergers Expected To Drive More Deal Talks
• 2 Life Sciences Cos. Start Trading After Raising $540M Total
• Swiss Banks Want Sanctions Review Amid Geopolitical Risk
• High Court Sanctions £2.2B Deal For Network International
• French Vaccine Maker Valneva Raises €61M In Private Placing
• HSF-Led National Grid To Sell Supply Unit To Gov't For £630M
• 8th Circ. Nixes $563M Verdict Against BMO Harris Over Ponzi
• Wells Fargo Ordered To Overhaul Sanctions, AML Compliance
• Towers Watson Can't Duck Bump-Up Exclusion, 4th Circ. Told
• Crypto Wallet Co. Beats Colo. Class Action Over $100M Hack
• Quinn Emanuel, Cohen Milstein Get $102M In Stock Loan Case
• Trading Firm EToro To Limit Crypto Sales, Pay $1.5M SEC Fine
• Nippon's Push To Save US Steel Buy And Other Deal Rumors
• CFTC Can't Pause Decision To Allow Election Betting
• Marlowe To Spin Off Health Unit For £225M AIM Listing
• French Legal Research Startup Jus Mundi Raises $22M
• Sullivan & Cromwell Guides Springer Nature's German IPO
• UK Watchdog Waters Down New Capital Rules For Banks
• Energy Biz Bowleven Edges Closer To Quitting LSE Listing
• Litigation Spending To Rise As Cases Grow More Aggressive
• Atlanta Fed Chief Violated Trading Blackout Rule, OIG Says
• Split 6th Circ. Backs SEC Win In Proxy Adviser Rule Change
• How Companies Are Approaching Insider Trading Policies
• Studio Behind 'Sound Of Freedom' Worth $1.6B In SPAC Deal
• Ipsen Exec Made Illegal Trades Before Merger, Feds Say
• Investor 'Blindsided' By Dye & Durham's Increasing Debt Load
• Star Witness In Bankman-Fried Trial Seeks No Prison Time
• Trademarks Surge As UKIPO Transforms Digital Platform
• Atlanta VC Fund Folds Black-Only Grant Contest To End Suit
• UK Gov't To Classify Cryptocurrency As Personal Property
• Dentons Adds 2 Corp. Pros In Dublin From US Rivals
• Ex-PE Boss Denies Owing Fee For €150M Investment In Fund
• WH Smith Launches £50M Buyback Amid Surge In Travel
• Latham Hires Senior Tax Pro From Travers Smith In London
• Dubai Builder Sells Entire Stake In UK Rival Costain For £38M
• Fed Official Previews 'Broad' Changes To Bank Capital Plans
• Truth Social Founder Ordered To Disclose Investor Details
• Simpson Thacher Names Bi-Coastal Fund Finance Leaders
• Britain's Renold Buys Canadian Conveyor Biz For $31.4M
• Holland & Knight Grows In DC With Ex-IDB Invest Counsel
• Southwest Plans Board Shakeup Amid Activist Pressure
• Vorys-Led Infrastructure Biz Buys Steel Maker For $30M
• Herbert Smith Freehills Hires Private Capital Partner In Asia
• Swedish Biopharma Vicore Announces Plans To Raise $75M
• Paul Hastings Taps Capital Markets Pro From Davis Polk
• Cooley Hires Team For Emerging Companies And VC Practice
• Increased IPOs In '24 Shows Importance Of Strategic Planning
• Bancor Protocol Operators Beat Investor Class Action
• Exec Denied New Trial In 'Shadow Trading' Case, Fined $321K
• Coinbase Notches Some Wins In SEC Discovery Battle
• Ex-Finance Exec To Pay SEC $110K In Insider Trading Action
• CFTC, Kalshi Duel Over Stay Of Election Betting Order
• FTX To Pay $14M To Access $600M Robinhood Share Cashout
• Split SEC Adopts New Quality Control Standards For Auditors
• SEC Fines 7 Companies $3M Over Whistleblower Violations
• MBX Biosciences Seeks Up To $136M In Upcoming IPO
• Clifford Chance Adds Latham Capital Markets Atty In Houston
• Bradley Arant Adds Katten Partner In Dallas
• How Methods Are Evolving In Textualist Interpretations
• Catching Up With Delaware's Chancery Court
• Covington Owes $100M For Malpractice, Ex-Client Claims
• ZoomInfo Sued By Investor Over Post-Lockdown Biz Pressure
• Earthlink Investors Accept $85M Deal To End Merger Suit
• SEC Wins Suit Against Trader Who Reaped 'Maker-Taker' Fees
• 7th Circ. Backs Bulk Of CFTC's Fraud Claim Win Against CEO
• Crypto Project Finds Shkreli's Wu-Tang Claims 'Dubious'
• Fed's Barr To Give Sneak Peek Of Revised Basel III Plan
• CFTC Loses Court Battle Over Election Betting Contracts
• YouTuber Says Logan Paul Filed Defamation Claims Too Soon
• What's Next For Federal Preemption In Financial Services
• Morgan Stanley Fined $2M Over First Republic Exec's Trades
• Renewable Energy Biz Goes Public Via $386M SPAC Merger
• Goodwin-Led Cancer Biotech Eyes Roughly $200M IPO
• EU Gears Up For New Commission With A Plea: More Women
• Increased Scrutiny Raises Int'l Real Estate Transaction Risks
• City Task Force Calls For Shake-Up Of UK Capital Markets
• Coinbase, Execs Must Face Investor Suit Over Business Risks
• CFTC Says Ex-Commish's Signature Was Forged For $1.5M Scam
• Texas Bank Ordered To Boost AML Compliance For Crypto Biz
• Biden To Block US Steel-Nippon, And More Deal Rumors
• Ga. Investment Adviser To Pay $335K To End SEC Suit
• 7th Circ. Doubts JPMorgan Traders' Spoofing Appeal
• 2nd Circ. Chilly To Mortgage-Backed Securities ERISA Suit
• 'Flimsy Attack' In $102M Award Suit Falls Flat, Court Hears
• Why Attorneys Should Consider Community Leadership Roles
• 'Pig Butchering': The Scam That Exploits Crypto Confusion
• Latham-Led Topgolf Plans Spinoff Into 2 Separate Cos.
• Bird & Bird Recruits M&A Partner In Frankfurt Amid Growth
• CVC Raises €7.4B Of Capital In 1st Results After Listing
• Robinhood Inks $3.9M Deal In Calif.'s Crypto Withdrawal Probe
• SEC Lets Deadline Pass For 5th Circ. Private Funds Appeal
• FINRA Beats Post-Jarkesy Challenge To Enforcement Powers
• Icahn Enterprises Investor Sues Alleging 'Ponzi-Like' Scam
• Ripple Gets OK To Pause SEC Penalty As It Mulls Appeal
• Atty Tied To Ponzi Scheme Can't Discharge CFTC Debt
• SEC Says $5M Fraud Scheme Targeted Venezuelan-Americans
• Fintech Investor Tries To Undo 'Formulistic' Nix Of NCino Suit
• SEC Fines Investor Over $7.5M In Undisclosed Affiliate Fees
• FINRA Fines Broker-Dealer $900K Over Lax AML Compliance
• Brazilian Oil Bribery Case Jury Warned Of 'Liar' Witness
• 9 Liability Management Tips As Debt Maturity Cliff Looms
• How Transaction Lookbacks Can Guide Fintech Companies
• Firms Must Offer A Trifecta Of Services In Post-Chevron World
• CFTC Fines Uniswap Over Bitcoin, Ether Liquidity Pools
• Feds Abandon $12M Somali Fraud Case Against Atty
• 2nd Circ. Backs Toss Of Ericsson Investors' ISIS Bribes Suit
• Super Micro Faces Investor Suits Over Short Seller Report
• Logan Paul Blasts CryptoZoo Investors' 'Scattershot' Pleading
• SEC Fines Adviser That Lost Clients' Crypto In FTX Collapse
• SEC Fines 6 Credit Rating Firms $49M Over Texting Records
• Trustee, Trader Culled From Jury In $1M Brazilian Bribery Trial
• A Day In The In-House Life: Narmi GC Talks Peak Productivity
• Aspire Biopharma Inks SPAC Deal At $316M Valuation
• Shkreli Hands Over 15 Copies Of Wu-Tang Clan Album
• Kirkland Brings On Ex-Goldman Sachs Debt Finance Pro In NY
• Catching Up With Delaware's Chancery Court
• How Ripple Final Judgment Fits In Broader Crypto Landscape
• 5 Tips To Succeed In A Master Of Laws Program And Beyond
• Semnur Pharmaceuticals To Go Public Via $2.5B SPAC Merger