Search for: "In re: Duke Investments, LLC"
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20 Jun 2011, 6:45 pm
So too in an Enron-style ERISA cases alleging imprudent investment in an employer's stock. [read post]
14 Jul 2021, 4:41 am
Co-author Rees LeMay* In Apollo Exploration, LLC v. [read post]
20 Jun 2014, 8:50 am
We always think outside of the box when we’re doing an asset search. [read post]
18 Nov 2022, 6:30 am
Securities and Exchange Commission, on Wednesday, November 16, 2022 Tags: Corporate fraud, ESG, Esg governance, ESG Performance, Investment Advisers Act, SEC enforcement Representations & Warranties, Fraud, and Risk Shifting: An Analytical Framework Posted by Steven L. [read post]
18 Nov 2022, 6:30 am
Securities and Exchange Commission, on Wednesday, November 16, 2022 Tags: Corporate fraud, ESG, Esg governance, ESG Performance, Investment Advisers Act, SEC enforcement Representations & Warranties, Fraud, and Risk Shifting: An Analytical Framework Posted by Steven L. [read post]
12 Oct 2011, 2:00 am
Funny, Judy Woodruff (an undergraduate classmate of mine back at Duke, by the way) didn't blink an eye. [read post]
5 Jul 2012, 2:39 am
In re Bridgestone/Firestone, Inc. [read post]
25 Sep 2007, 10:39 pm
Richert, who has been at my side--for better or for worse--since her graduation from Duke Law School in 2001.If you're wondering how I had the time to blog, it's in large measure because Elizabeth does a lot of the spade work for me. [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]
25 Apr 2013, 3:06 am
Pacific Investment Management LLC and the Second Circuit in Denney v. [read post]
20 Nov 2008, 8:29 pm
This paper by re-examines and improves upon the model developed previously by Duke University professor Henry Grabowski. [read post]
21 Sep 2009, 10:36 am
" According to James Cox, a professor of law at Duke University, "If we're serious about protecting investors and consumers, we have to understand it's individuals not entities who commit violations and should be hung out to dry. [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]
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]
17 Jul 2009, 11:33 am
Settlement Update.Fenner Investments v. [read post]
10 May 2018, 3:33 pm
There are characteristics of both currency and investment. [read post]
12 May 2010, 1:39 pm
They aren't giving up, they're doubling down. [read post]
25 Mar 2011, 1:21 pm
The Third Circuit hinted at an answer in In re Ins. [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 May 2012, 5:04 pm
” In re Glosser Bros., 382 Pa. [read post]
