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9 Jul 2021, 7:07 am by John Jascob
See our full coverage.8.EXCHANGES AND MARKET REGULATIONExchanges incur another setback in crusade against SEC’s market data planA panel of the Court of Appeals for the District of Columbia rejected arguments made by several national securities exchanges that the SEC’s equity data plans for the exchanges were actually "rules" and not "orders" as designated by the Commission. [read post]
6 Jul 2021, 12:14 pm by Ajay Sarma, Christiana Wayne
Robert Holleyman, president and CEO at Crowing & Moring International LLC; Amb. [read post]
14 Jun 2021, 4:32 am by Peter Mahler
The operating agreement’s quorum provision was based on a majority of the equity interests as determined by the members’ capital contributions. [read post]
26 May 2021, 8:42 am by John Jascob
Nasdaq is the second major exchange to obtain such approval within the last six months following New York Stock Exchange LLC’s similar approval in December 2020. [read post]
The only other decision to squarely analyze policy wording from the FM/AFM policy form (as opposed to merely looking to the scoreboard) is Thor Equities, LLC v. [read post]
18 May 2021, 1:52 pm by Staff Attorney
”  The DOJ indicted David Gentile, the founder of GPB, Jeffry Schneider, the owner and CEO of Ascendant Capital LLC, and Jeffrey Lash, a former managing partner of GPB relating to the fraud. [read post]
10 May 2021, 3:56 am by Peter Mahler
District Judge Victor Marrero of the Southern District of New York in Vogel v Boris involving a falling out between members of a SPAC sponsor following the completion of an acquisition. [read post]
6 May 2021, 8:24 am by Kristian Soltes
District Court for the Northern District of California that centers on two Apple practices that have become cornerstones of its business. . . . [read post]
15 Apr 2021, 3:39 pm by Lydia Estep
The District of Columbia does require information about beneficial owners. [read post]
15 Apr 2021, 11:48 am by Edward T. Kang
McKinsey settled for nearly $600 million with 47 states, five territories, and the District of Columbia. [read post]
11 Apr 2021, 9:05 am by Staff Attorney
  Our consultations are free of charge and the firm is only compensated if you recover. [1] GPB Capital Founder and CEO Among Three Individuals Indicted in Private Equity Investment Fraud (available at: https://www.justice.gov/usao-edny/pr/gpb-capital-founder-and-ceo-among-three-individuals-indicted-private-equity-investment) [read post]