Searching Content indexed under Securities by Rachel Wolkinson ordered by Published Date Descending.
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Second Circuit: Intent To Harm Is Not Required For Criminal Conviction Under Investment Advisers Act
The U.S. Court of Appeals for the Second Circuit yesterday affirmed the fraud conviction of a registered investment adviser and held that proof of intent to harm is not an element of a criminal conviction...
United States
9 May 2016
SEC Sanctions Hedge Fund Advisory Firm For Improper Valuations Of Illiquid Securities
The SEC charged that the overvaluations improperly increased the management and performance fees collected by the adviser.
United States
7 Jul 2015
SEC's Data-Driven Analysis Identifies Allegedly Improper Trade Allocations By Investment Advisor
The Order initiating proceedings states that DERA analyzed the firm's allocation of options trades over 35 months, from February 2010 to January 2013.
United States
2 Jul 2015
State Bar Council Proposes New Legislation For Delaware Fee-Shifting Ban And Delaware Court Of Chancery Considers Fee-Shifting Bylaw
In December, we reported on the Delaware Court of Chancery's continued validation of board-adopted forum-selection bylaws in City of Providence v. First Citizens BancShares, Inc. , 99 A.3d 229, 234 (Del. Ch. 2014)..
United States
23 Mar 2015
Proskauer Hedge Fund Seminar Recap: Fallout From The Second Circuit’s Insider-Trading Ruling
On Thursday, February 5, 2015, Ralph C . Ferrara, Robert J. Cleary and Jonathan E. Richman were invited to Proskauer’s Hedge Fund Breakfast Seminar to speak about the Second Circuit’s insider-trading ruling in Newman/Chaisson.
United States
11 Feb 2015
Delaware Legislature To Resume Debate In January On Bylaws Imposing Liability On Shareholders
The ability of corporations to impose liability on shareholders through bylaws and charter provisions has been the subject of much debate recently.
United States
19 Dec 2014
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