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Financial Services Alert
Year:  2013  2012  2011  2010  2009  All

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May.14.2013 Sustainability Disclosure: Proxy Exclusion & the Impact of the SEC's Decision in PNC Financial
Apr.10.2013 Delaware Chancery Court Rejects Claim That Article 9 Sale Was Not Conducted in a Commercially Reasonable Manner
Apr.03.2013 Regulatory Reform of the UK Financial Services Industry
Mar.25.2013 UCC Termination Statements Require Authorization To Be Effective
Mar.25.2013 SEC Issues Much Needed Guidance on Rule 15a-6 Regarding Foreign Broker-Dealers
Mar.12.2013 SEC Sends Message to Stop Fundraising by Unregistered "Finders"; comes Down Hard on Fund Sponsor and Managing Partner
Mar.08.2013 SEC Issues Risk Alert Regarding Adviser Examinations
Feb.08.2013 DOL Provides ERISA Fiduciary Relief to FCMs and Clearing Organizations for Certain Swap Transactions with ERISA Plans
Dec.11.2012 Absolute Assignments of Rents Are Not So "Absolute"
Nov.13.2012 MoneyGram International Inc. Settlement of Criminal Charges May Have Far-Reaching Compliance Implications for Anti-Money Laundering Violations
Nov.08.2012 Court Invokes FRE 502(d) to Permit Intentional Production of Privileged Materials Without Waiver
Sep.12.2012 Call Premiums in Bankruptcy — Maturities' Finale or a Case of Arrested Development?
Aug.15.2012 Criminal Borrower? An Innocent Secured Creditor Need Not Worry About Losing Its Collateral to Government Forfeiture
Jul.17.2012 Ninth Circuit Limits the Use of Arbitration Against Debtors in Bankruptcy Cases
Jul.13.2012 Sunbeam: Seventh Circuit Says That Rejection in Bankruptcy Does Not Vaporize a Trademark Licensee's Rights
Jun.08.2012 Credit Bid Rights of Secured Creditors Protected by U.S. Supreme Court
Apr.25.2012 Caution: Bankruptcy-Remote Entities Are Not Necessarily Bankruptcy Proof
Apr.04.2012 Proposed Revisions to Interagency Leveraged Lending Guidance
Mar.14.2012 CFTC Issues Final Rules Regarding Exemptions, Registration and Compliance Obligations for CPOs and CTAs of Public and Private Funds
Mar.08.2012 Potential for Change in Anti-Money Laundering Laws & Regulations: New FATF Recommendations, FinCEN Calls for Comments on Customer Due Diligence Procedures
Feb.03.2012 Second Circuit Weighs in Again on Class Action Waivers in Arbitration Agreements
Dec.27.2011 Private Plaintiffs May Assert Common Law Claims In Securities-Related Litigation Under New York Law
Sep.28.2011 Under New York Law, A Borrower In Distress Is Not Necessarily Under Economic Duress
Jun.28.2011 New SEC Investment Adviser Regulations: What Do You Need To Know?
Jun.15.2011 Supreme Court Limits the Meaning of "Making" a Statement Under Rule 10b-5 of the Securities Exchange Act
May.24.2011 SEC Proposes Changes to the Qualified Client Definition
May.18.2011 Certificateholder Does Not Have "Party In Interest" Standing To Be Heard On Innkeepers' Bidding Procedures Motion
May.16.2011 Second Circuit Declines to Impose Securities Act Liability Against Rating Agencies
Apr.11.2011 Judge Decides Not to Pick-A-Fight with Pick-A-Payment
Feb.14.2011 UK Financial Services Authority decision on disclosure of future contingent consideration by listed acquirors
Nov.30.2010 New Expert Discovery Disclosure Rules Take Effect Dec. 1, 2010
Nov.09.2010 CFTC and SEC Propose New Anti-Manipulation Rules for Swaps and Security-Based Swaps
Oct.27.2010 In Pari Delicto Continues to Curtail Financial Fraud Suits Against Professional Service Firms in New York
Sep.01.2010 Third Circuit Holds Bankruptcy Code Overrides Debtor's Contractual Right to Unilaterally Terminate Retiree Health and Benefit Plans
Aug.30.2010 Worldwide Application of Automatic Stay in Chapter 15 Is Not Necessarily Automatic
Jun.07.2010 FINRA Proposes Registration of Operations Personnel
May.11.2010 Third Circuit Affirms Debtor's Right To Sell Assets Under Plan Without Providing Secured Creditors The Right To Credit Bid
Jan.04.2010 New York Appellate Court Upholds Noteholder's Right to Declare a Default Based Upon Fall in Ratings of Financial Guaranty Insurance Policy
Nov.17.2009 New York Bankruptcy Court Expunges Mortgage After Lender is Unable to Produce Assignment
Sep.29.2009 Ratings Agencies May be Held Liable for Fraud for Misleading Ratings
Sep.22.2009 Victory For The Alternative Energy Industry
Sep.21.2009 Court gives New Twist to Enforcement of Springing Guaranty
Sep.16.2009 IRS Guidance on Modifications to Commercial Mortgage Loans
Jun.29.2009 The Consumer Financial Protection Agency
Jun.22.2009 New York Courts Compel Third-Party Garnishee to Bring Debtor’s Out-of-State Assets to New York to Satisfy Judgment Debt
May.27.2009 Secured Lenders Beware – Overreaching and Predatory Lending Tactics Can Cause Your Claim To Be Equitably Subordinated In Bankruptcy
Mar.03.2009 Federal Court Allows Investor’s Law Suit To Proceed Against Hedge Fund For Misrepresentations Concerning Redemption Rights
Feb.17.2009 Proposed Hedge Fund Legislation
Feb.09.2009 UPDATE: Hedge Fund Transparency Act of 2009
Feb.02.2009 Hedge Fund Transparency Act of 2009
Dec.10.2008 Don’t Wait for the Federal Rescue Program or Bailout---Auto Suppliers and Servicers Should Take Steps Now to Shore Up Credit Risks and Bankruptcy Exposure
Nov.24.2008 Managing Your Investment Losses in a Tax Efficient Way
Oct.30.2008 Who Will Bailout the Bailoutters?: An Overview of the Unique Legal Risks Facing Treasury's New Asset Managers and their Subcontractors
Oct.13.2008 Hedge Fund Deferred Compensation Targeted in Bailout Bill
Oct.07.2008 Notice 2008-91: The Internal Revenue Service Moves to Facilitate Liquidity
Oct.06.2008 Tax Notice Drives Wachovia Takeover Turmoil
Aug.11.2008 Lenders and Servicers Beware: Court Imposes Duty Upon Lenders and Servicers To Accurately Disclose Status With Respect To Loan
Aug.05.2008 Oil Speculation Tax Proposal
Jul.30.2008 Highlights Of Housing Bailout Bill
Jun.17.2008 Supreme Court Decision Ends Practice of Applying Section 1146(a)'s Exemption for Stamp and Transfer Taxes to Pre-Confirmation Asset Sales
Jun.11.2008 Company in Financial Trouble? Officers Beware
Mar.03.2008 IRS Designates Distressed Asset Trusts as 'Listed Transactions'
Jan.22.2008 Update on Unavailability of U.S. Bankruptcy Relief for Some Offshore Hedge Funds
Dec.20.2007 Entitlement to Attorneys’ Fees in Bankruptcy by Unsecured Creditors Remains Uncertain
Nov.16.2007 Ohio Federal Court Fires Warning Shots At Mortgage Pool Investors Who Rush To Foreclose Without Adequate Pre-Foreclosure Legal Due Diligence
Oct.11.2007 Trouble Averted: Seventh Circuit Court Upholds Yield Maintenance Provision
Sep.11.2007 U.S. Bankruptcy Relief Blocked For Some Offshore Hedge Funds
Aug.15.2007 Trouble Ahead: Seventh Circuit Court Reviewing Yield Maintenance Provisions
Dec.02.2005 Court Tells Agency To Address Illicit Advantage In Recompetition