Search for: "Duke Investments, LLC"
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22 Jan 2019, 11:31 am
Prior to HLS, he graduated from Duke (2014), worked as an administrator at a law firm, a LSAT tutor on the side, and traveled through Africa, Asia, Europe, and South America. [read post]
17 Dec 2018, 3:14 pm
John Reed Stark On November 29, 2018, the SEC announced that it had settled charges with boxer Floyd Mayweather Jr. and music producer DJ Khaled for failing to disclose payments they received for promoting investments in Initial Coin Offerings (ICOs). [read post]
10 Dec 2018, 3:16 pm
Tyler Winklevoss and Cameron Winklevoss, the twins who famously battled Mark Zuckerberg over the origins of Facebook, notably opted to invest in bitcoin in 2013 – and bitcoin’s value shot up to almost $1,000 that year. [read post]
24 Oct 2018, 4:33 pm
For starters, most insider trading is perfectly legal, such as when corporate executives buy stock in their own companies as an investment. [read post]
10 Oct 2018, 12:40 pm
What precisely renders an event material has plagued securities lawyers for years and has been the subject of countless judicial decisions, SEC enforcement actions, law review articles, law firm guidance and the like – but can be effectively summed up as any important development or event that “a reasonable investor would consider important to an investment decision. [read post]
30 Sep 2018, 5:16 pm
The SEC’s antifraud provisions are broad and sweeping – and are meant to be flexible to bend and adapt to new or evolving forms of investment fraud and chicanery. [read post]
10 Aug 2018, 6:11 am
Posted by Sean Barry, Equilar, Inc., on Thursday, August 9, 2018 Tags: Board dynamics, Board oversight, Board performance, Boards of Directors, Director qualifications, Management, Overboarding, Tech companies Cash America and the Structure of Bondholder Remedies Posted by Marcel Kahan (NYU) and Mitu Gulati (Duke University), on Thursday, August 9, 2018 Tags: Bondholders, Bonds, Covenants, Debt… [read post]
3 Aug 2018, 6:10 am
Silverman, Cleary Gottlieb Steen & Hamilton LLP, on Monday, July 30, 2018 Tags: Broker-dealers, Exchange Act, Investment banking, Janus Capital v. [read post]
3 Jun 2018, 2:18 pm
S. states regarding investing can vary, all states can assert jurisdiction over securities transactions and crypto-related subject matter. [read post]
10 May 2018, 3:33 pm
There are characteristics of both currency and investment. [read post]
6 May 2018, 8:35 pm
Their investment in equipment or materials favored independent contractor status, as did the fact they could hire helpers. [read post]
16 Apr 2018, 4:48 pm
Howey Co., which states that a security is an investment contract in which a person 1) invests their money; 2) in a common enterprise; 3) with an expectation of profits; 4) based on the efforts of the promoter or a third party. [read post]
2 Apr 2018, 4:03 pm
David Fontaine John Reed Stark As I noted in a post at the time, on February 21, 2018, the SEC released its cybersecurity disclosure guidance for publicly traded companies. [read post]
12 Mar 2018, 12:42 am
What precisely renders an event material has plagued securities lawyers for years and has been the subject of countless judicial decisions, SEC enforcement actions, law review articles, law firm guidance and the like – but can be effectively summed up as any important development or event that “a reasonable investor would consider important to an investment decision. [read post]
12 Feb 2018, 3:02 pm
ICOs have grown largely outside of regulatory oversight and without the investor protections and disclosure requirements that apply to traditional investment offerings. [read post]
29 Jan 2018, 11:28 pm
Many readers may have noted SEC Jay Clayton’s January 22, 2018 speech about his agency’s scrutiny of cryptocurrencies, as well as the January 24, 2018 opinion piece Clayton wrote in the Wall Street Journal along with his counterpart from the CFTC, J. [read post]
9 Dec 2017, 1:07 am
Duke and State of New York v. [read post]
16 Jun 2017, 6:19 am
Kanzer, Domini Impact Investments LLC, on Thursday, June 15, 2017 Tags: CHOICE Act, Institutional Investors, No-action letters, Proxy voting, Rule 14a-8, SEC, Securities regulation, Shareholder proposals, Shareholder voting Financial CHOICE Act of 2017 Posted by H. [read post]
31 Mar 2017, 6:03 am
De Ghenghi and Margaret Tahyar, Davis Polk & Wardwell LLP, on Tuesday, March 28, 2017 Tags: Banks, Capital markets, CHOICE Act, Derivatives, Dodd-Frank Act, Donald Trump, FDIC, FHCs, Financial institutions, Financial reform, Financial regulation, Investment banking, Swaps The “Why” Question in Investment Theory Posted by Saker Nusseibeh, Hermes Investment Management, on Tuesday, March 28, 2017 Tags: Accountability, Capital allocation, Capital markets,… [read post]
3 Mar 2017, 6:16 am
Berman, Vinson & Elkins LLP, on Saturday, February 25, 2017 Tags: Broker-dealers, Compliance & ethics, Conflicts of interest, Cybersecurity, Duty to inform, FCPA, Financial advisers, Private equity, Private funds, SEC, SEC enforcement, Securities enforcement, Securities regulation Should Mutual Funds Invest in Startups? [read post]
