Search for: "Anne Sherry"
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21 Feb 2020, 10:44 am
By Anne Sherry, J.D.The SEC heard from the U.S. [read post]
16 Feb 2016, 8:53 am
By Anne Sherry, J.D.Better Markets is urging the CFTC to defend Dodd-Frank's derivatives reforms against the large Wall Street dealers that control over 90 percent of the swaps markets. [read post]
10 Aug 2016, 5:46 am
By Anne Sherry, J.D.Swisher Hygiene will dissolve, capping an accounting-fraud scandal that led to the indictments of several executives and the company's commitment to a $2 million penalty. [read post]
30 Aug 2016, 7:56 am
By Anne Sherry, J.D.The ousted founder and CEO of Orion Energy failed to persuade the Eastern District of Wisconsin that he was fired for blowing the whistle on disclosure shortcomings. [read post]
9 Dec 2021, 8:38 am
By Anne Sherry, J.D.The latest benchmark proxy voting policies from Institutional Shareholder Services incorporate feedback from a climate survey that also informed ISS’s specialty policies. [read post]
29 May 2015, 1:47 pm
By Anne Sherry, J.D.Private equity investors in Molycorp, Inc., and the directors they appointed, have been unburdened of claims that they breached their fiduciary duties in connection with a secondary offering that injured minority shareholders. [read post]
19 Apr 2022, 7:33 am
By Anne Sherry, J.D.The Delaware Superior Court determined that parties to a contract denominated in cryptocurrency were entitled to over $25 million in damages. [read post]
18 Jul 2016, 5:00 am
By Anne Sherry, J.D.Rabobank employees were wrongly convicted of LIBOR manipulation, argues an amicus brief filed in the Second Circuit by the New York Council of Defense Lawyers (NYCDL). [read post]
17 Dec 2014, 1:46 pm
[This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.A Yale University law professor has stepped in to challenge SEC Commissioner Daniel Gallagher’s argument that the Harvard Shareholder Rights Project’s destaggered board proposal violates securities laws. [read post]
11 Jul 2022, 5:20 am
By Anne Sherry, J.D.UBS Financial Services knew about significant risks of a complex options trading strategy, but its advisers were not adequately trained and supervised to ensure those risks were communicated to clients, according to a settled SEC order. [read post]
17 Sep 2018, 6:31 am
By Anne Sherry, J.D. [read post]
27 Oct 2021, 8:35 am
By Anne Sherry, J.D.The SEC’s Division of Examinations issued a risk alert summarizing its observations from exams in the Registered Investment Company (RIC) Initiatives, a series of exams focusing on mutual funds and ETFs to assess practices and compliance in areas that could affect retail investors. [read post]
16 Dec 2020, 9:49 am
By Anne Sherry, J.D.The Corporate Transparency Act, Title LXIV of the National Defense Authorization Act, seeks to crack down on "malign actors" by making it more difficult to conceal their ownerships of corporations, LLCs, and similar entities. [read post]
1 Jun 2023, 5:29 am
By Anne Sherry, J.D.Most Americans between 18 and 25 have some kind of investment, according to a new report from the FINRA Investor Education Foundation and CFA Institute. [read post]
28 Aug 2023, 5:01 am
By Anne Sherry, J.D.SEC Commissioner Hester Peirce said that she declined to support the agency’s new rulemaking on private fund advisers because it is “ahistorical, unjustified, unlawful, impractical, confusing, and harmful. [read post]
26 Jan 2021, 9:41 am
By Anne Sherry, J.D.The full Delaware Supreme Court reversed and remanded a decision of the Court of Chancery dismissing a post-closing challenge to the merger between Enbridge and Spectra Energy Partners. [read post]
24 Feb 2022, 9:25 am
By Anne Sherry, J.D.In a comment letter on FINRA’s proposal to amend the current prohibition on borrowing from or lending to customers, NASAA reiterated its position that such borrowing or lending should be prohibited outright. [read post]
11 Aug 2015, 5:44 am
By Anne Sherry, J.D.The receiver winding down an LLC will stay in that role, but the Delaware Court of Chancery determined that his 10-percent contingency fee should be determined on a net, rather than gross, basis. [read post]
28 Jan 2015, 10:41 am
[This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.Criticizing last month’s opinion by a Second Circuit panel overturning two insider trading convictions based on a lack of personal benefit to the tippers, the government is asking for rehearing and rehearing en banc. [read post]
26 Mar 2024, 5:59 am
By Anne Sherry, J.D.The Delaware Supreme Court, sitting en banc, restored a challenge to a squeeze-out merger. [read post]
