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15 results found

Article

Dinsmore & Shohl LLP | USA | 3 Jul 2014

The impact of new SEC municipal advisors registration requirements on investment bankers and their clients

On September 18, 2013, the Securities and Exchange Commission ("SEC") voted to adopt its final rule establishing registration requirements for

Article

Foley & Lardner LLP | USA | 30 Sep 2011

Misuse of information as insider-trading: what constitutes a duty?

Recent business or financial news has been filled with reports of insider-trading cases that the Securities and Exchange Commission has been or is pursuing.

Article

Chadbourne & Parke LLP | USA | 13 Sep 2011

Public sideprivate side wall helps defeat breach of loyalty claim

A New York federal court recently ruled that an information barrier in place between the “public” and “private” sides at JPMorgan Chase Bank (“JPMC”) was adequate to prevent public trust group personnel from obtaining material non-public information from JPMC’s private investment business.

Article

Morrison & Foerster LLP | USA | 1 Feb 2011

Americanwest Bancorporation: how a Section 363 sale in bankruptcy provides a viable recapitalization option for troubled banks

In the current economic environment, many banks have lost significant capital and are under immense pressure, regulatory and otherwise, to recapitalize.

Article

Kramer Levin Naftalis & Frankel LLP | USA | 29 Sep 2010

Fifth Circuit reinstates insider trading claims against Mark Cuban

On September 21, 2010, the Fifth Circuit Court of Appeals reinstated insider trading charges brought by the Securities and Exchange Commission against Texas entrepreneur Mark Cuban.

Article

McCarthy Tétrault LLP | Canada | 2 Sep 2010

How to handle a "bear-hug" letter

Very often, the first shot fired in a take-over bid battle is when the potential acquiror of a public company calls the target's CEO or Chair and asks for a meeting to discuss a matter of "mutual interest."

Article

McCarthy Tétrault LLP | Canada | 29 Jun 2010

How to handle a "bear-hug" letter

Very often, the first shot fired in a take-over bid battle is when the potential acquiror of a public company calls the target's CEO or Chair and asks for a meeting to discuss a matter of "mutual interest.

Article

Haynes and Boone LLP | USA | 10 Aug 2009

July madness: in Maverick case, the SEC tosses an air ball

On July 17, 2009, sports enthusiast Mark Cuban won a significant victory when a federal trial court in Dallas dismissed the SEC’s insider trading charges against him.

Article

Lowenstein Sandler LLP | USA | 28 May 2009

Sec v. Mark Cuban could this case represent a sea change?

A federal judge in Dallas heard arguments Tuesday in the high-profile insider trading case brought by the United States Securities and Exchange Commission against Mark Cuban, the well-known and outspoken owner of the Dallas Mavericks.

Article

McCarthy Tétrault LLP | USA | 26 Nov 2008

Investment bankers’ fiduciary duty to shareholders

The August 2008 decision of the United States Court of Appeals for the Seventh Circuit in Edward T. Joyce, et al. v. Morgan Stanley & Co. held that an investment banking firm engaged by a company in connection with a merger transaction to provide, among other things, a fairness opinion, does not by virtue of that engagement owe a fiduciary duty to the shareholders of the company.

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