Asset Management Archive » December, 2024

Asset Management - December, 2024

155 articles

• OCC Orders BofA To Enhance BSA Compliance Programs
• SEC's Dealer Rule Loss Is A Lesson To Regulators, Atty Says
• TD Bank, Boeing And Medicare: Compliance Headlines In 2024
• Argentina Asks Justices To Review Bondholders' $310M Win
• A Look Back At 2024's Major Securities Litigation Moments
• Suit Slams SEC's Use Of 'Career Death Penalty'
• Wells Fargo, LPL Financial Fined $3.6M For Bad Trading Data
• Deutsche Bank Unit To Pay SEC $4M For Untimely SARs
• SEC Sues Silver Point Over Atty's Receipt Of Nonpublic Info
• Edward Jones, Others To Return $8.2M To Mutual Fund Clients
• DOL Sues Over New York BBQ Co.'s $99M Stock Plan Deal
• How White Collar Enforcement May Shift In Trump's 2nd Term
• Trump Transfers $4B Equity Stake In Media Startup To Trust
• Prudential Freed From 401(k) Mismanagement Suit
• The Justices' Securities Rulings, Dismissals That Defined '24
• 10 Noteworthy CFPB Developments From 2024
• Capital Markets Attorneys Ready For Reset After Bumpy 2024
• Fixing Up Cars Makes Me A Better Lawyer
• Aviation Co. AAR To Pay $55M Over Alleged Bribery Schemes
• SEC Nabs $5M Judgment In Elder Fraud Case Against Adviser
• CFTC Urges 7th Circ. To Uphold $231M Crypto 'Ponzi' Penalty
• Ropes-Led Bain Capital Trims Stake In Kioxia After $800M IPO
• UBS Unit To Pay $3.5M Over FINRA Preferred Stock Claims
• Medical Supplies Giant, Drone Operator File Confidential IPOs
• Judge Says Investing Firm Owes Marketer $330K, Not $10M
• 3rd Circ. Says Loan Shark, Robbery Not Enough For Asylum
• Medical Device Investors Get Final OK On $15M Deal
• 2024 Has Been A Momentous Year For ESG
• Making The Pitch To Grow Your Company's Legal Team
• The Story Of 2024's Biggest Bank Regs, And Their Fate In 2025
• X Workers Say Entire Severance Suit Should Survive
• Pharma Trial Consultant To Pay SEC $3M Over Insider Trading
• Split 9th Circ. Backs 46-Month Prison Term For Stock Pumper
• Charles Schwab Says Ex-Employee Stole Client Info
• FDIC Moves Closer To Suing Ex-Brass Of Silicon Valley Bank
• Justices Rightly Corrected Course In Nvidia And Facebook
• Gov't Scrutiny Of Workplace Chat Apps Set To Keep Growing
• Del. Dispatch: The 2024 Corporate Cases You Need To Know
• Cryptocurrency Firm Exec Gets 4 Years For $4.5M Theft
• Insignia Financial Rejects $1.7B Buyout Bid From Bain
• Top 10 Whistleblowing And Retaliation Events Of 2024
• Broker, AML Chief Settle SEC Suspicious Activity Claims
• SEC, CFTC Members Eye Crypto Coordination Under Trump
• Hunton Adds Ex-Flagstar Atty To NYC Office
• When US Privilege Law Applies To Docs Made Outside The US
• 4 Recent Policy Developments Benefits Attys Should Know
• Northwest Bancshares Buys Peer Penns Woods In $270M Deal
• Changes To Expect From SEC Under Trump Nominee
• Executive Orders That Could Affect Financial Services In 2025
• Fenwick-Led AI Startup Databricks Nets $10B In Private Round
• BNY Scores Exit In Mutual Fund Conflict Of Interest Suit
• Split SEC Will Require Certain Filings Be Made Electronically
• 'Plans Do Matter,' Tempur Sealy Says In Final Merger Hearing
• AME Church Inks $20M Deal In Retirement Fraud Suit
• SEC Wants Out Of PE Firm's 'Fishing Expedition' Suit
• Investment Pro Denies $600M 'Cherry-Picking' Fraud Charges
• 'Minimal Participant' Bar Is Tough To Clear For Whistleblowers
• High Court Bar's Future: Latham's Roman Martinez
• 2024 IPO Market Trends, And What To Expect Next Year
• Medical Device Co. Brass Hid SPAC's True Value, Suit Says
• Advocacy Group Has Change Of Heart On SEC Reg Challenge
• US Bank Fails To Beat RMBS Suit From Commerzbank
• Auto Mogul Must Turn Over Note Info In $127M Collection Row
• Silvergate Bank Slams Stockholder's Bid To Take Over Ch. 11
• A Look At SEC, CFTC's Record Year For Whistleblower Awards
• Off The Bench: PE Buys In On NFL, WWE Abuse Suit Back On
• 3 Firms Guide Pair Of SPAC Listings Totaling $410M
• What 2024 Trends In Marketing, Comms Hiring Mean For 2025
• Expect Continuity In 2025 Anti-Money Laundering Policy
• Cantor Fitzgerald To Pay SEC $6.75M Over SPAC Disclosures
• SEC Fines Investment Co. For Adviser's Cherry-Picking Scheme
• SEC Will Be GOP-Only Without Crenshaw's Vote, Groups Warn
• Fla. Judge Awards $114M To Crypto-Forex Exchange Investors
• DC Circ. Leans Toward BofA In Pandemic Market Loss Bout
• Biden Steel-Deal Block, Walgreens For Sale, And More Rumors
• TD Bank Sued Over AML Controls After Ex-Employee's Arrest
• Alpine Ruling Previews Challenges To FINRA Authority
• Group Running Makes Me A Better Lawyer
• PE Fund Made Investments In 'Worthless' Startup, Suit Says
• Latham, Wilson Sonsini Lead ServiceTitan's $625M IPO
• Seattle Kraken Owner, TPG Co-Founder Dies At 82
• SEC Sues Disbarred Calif. Atty And Son For Securities Fraud
• Nigerians Impersonated US Brokers For $3M Scam, Feds Say
• Connell Foley Faces DQ Bid In Investment Firm's Bias Suit
• 6 Changes I Would Make If I Ran A Law School
• CFPB's Chopra Won't Head For Exit Ahead Of Trump's Arrival
• 6 Firms Guide Nippon Life's $8.2B Resolution Life Acquisition
• SEC Says Ex-Rep Defrauded Investors With Short-Term Bets
• SEC Outlines Municipal Adviser Exam Process
• 4th Circ. Casts Doubt On Broker's FINRA Challenge
• Nippon Life In Late Talks To Buy Resolution Life For $8.2B
• Firms Still Have The Edge In Lateral Hiring, But Buyer Beware
• Blockchain Co. IP Fight With Investment Firm Teed Up For Trial
• Morgan Stanley Pays SEC $15M Over Theft By Ex-Reps
• 5th Circ. Crypto Ruling Shows Limits On OFAC Authority
• Kellogg Retirees Say DOL's Brief Backs 6th Circ. Revival
• Preparing For The New Restrictions On Investment Into China
• Congress Should Expand Investment Options For 403(b)s
• Bed Bath & Beyond Irons Out 401(k) Fee Suit Deal
• SEC's Trading And Markets Director Zhu To Leave Agency
• Barington And Thor Invest In Macy's, Push For New Direction
• Think Like A Lawyer: 1 Type Of Case Complexity Stands Out
• Justices Won't Review Massive Class In Fringe Benefits Fight
• Allianz Exec Avoids Prison For $7B Investor Fraud
• $490M Suit Over Kurdish Telecom Loan Paused For Arbitration
• How Paul Atkins' Last SEC Term Might Shape Agency's Future
• Cedars-Sinai ERISA Class Cert. Bid Meets Skeptical Judge
• Two Firms To Rep CVS Investors In Benefit Unit Losses Suit
• Merrill Lynch Can't Beat Stock Loan Class Cert. Bid
• FTX Says Three Arrows Can't Add $1.5B To Ch. 11 Claims
• SEC Custody Rule Creates Crypto Compliance Conundrum
• AI Hype Won't Wash With Canadian Securities Regulators
• 4 Big Developments In ERISA Cases From 2nd Half Of 2024
• Taxation With Representation: Skadden, Gibson Dunn
• Think Like A Lawyer: Note 3 Simple Types Of Legal Complexity
• Jane Street Ends Trade Secret Fight With Rival Investing Firm
• Trump Taps Musk Ally David Sacks As 'AI & Crypto Czar'
• DOL Says Court Erred In Tossing ESOP Claims Against Exec
• First Citizens Accused Of $3M High-Yield Bait-And-Switch
• Chinese Bank Faces New Suit Alleging Reinsurance Fraud
• FTX Clawback Deal With Ex-Alameda Co-CEO Gets Court Nod
• Jones Day Reps CNX On $505M Deal For Natural Gas Biz
• SpaceX Seeks Astronomical $350B Value, And More Rumors
• What Insurers Need To Know About OFAC's Expanded FAQs
• IQVIA Gets Final OK For $3.5M Deal In Ex-Workers' 401(k) Suit
• Rethinking Clawback Policies For 2025 Compensation Season
• Gardening Makes Me A Better Lawyer
• Battery Recycling Firm To Go Public Via $250M SPAC Merger
• Target Can't Escape Investors' Pride Month Merch Suit
• 'Side Deal' Unlikely To Ax Fees In $10M Morgan Stanley Deal
• Fla. Ex-Rep Sues Associate Connected To Foreign Agent Case
• Debt Relief Co. Agrees To Be Banned Under CFPB Settlement
• CFTC Hits $17.1B Enforcement Record With FTX-Linked Deals
• 5th Circ. Probes $8M Payout For Allegedly Undelivered Services
• SEC Prioritized Enforcement Sweeps As Cases Slowed In '24
• Uber Investors' Attys Awarded $58M In $200M IPO Suit Deal
• Wells Fargo Wants Suits Over $300M Scheme Tossed
• 'Patriotic' Marketplace PublicSquare Raises $36M Stock Sale
• Litigation Inspiration: Reframing Document Review
• Crypto Groups Hail Trump's SEC Pick Paul Atkins
• Calif. Trading Instructor Gets Prison For $2M Investment Fraud
• Paul Weiss-Led PE Firm's SPAC Bids £836M For E-Training Biz
• Top Ex-SEC Officials Warn Of Enforcement Upheaval
• Crypto Co. Hut 8 Wants Out Of Merger Disclosure Investor Suit
• 4 Mass. State Court Rulings You May Have Missed In Nov.
• Fla.'s 'Mother Teresa' Gets 20 Years For Ponzi Scheme
• Feds Urge Justices To Revive Cornell Workers' ERISA Fight
• Skadden, Clifford Chance Guide BlackRock On $12B HPS Buy
• UK Watchdog Probes BlackRock Deal For Data Co. Preqin
• FDIC Must Face Some Of SVB Ex-Parent's Claims In $1.9B Suit
• Trial Date Set In 3-Way Fight Over Historic Ohtani Baseball
• Citi Splits Off Mexican Retail Bank Ahead Of Planned IPO
• Funds Get $30M Payout From SEC's Fight With Fugitive Trader
• PE Firms Swap Calisen Stake At Reported $5B Value
• Shipping Industry Braces For Waves Of New Trump Tariffs