According to a recent survey by Grant Thornton LLP, the majority of merger and acquisition (M&A) dealmakers expect a surge in deal volume, especially in the technology, retail, hospitality and insurance industries.For this survey of M&A professionals...
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September 23, 2021, 08:04 AM
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Perella Weinberg Partners (“PWP”), a leading global independent advisory firm, and FinTech Acquisition Corp. IV, a special purpose acquisition company, have entered into a definitive business combination agreement. Upon closing of the transaction...
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December 30, 2020, 08:33 AM
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The Securities and Exchange Commission charged Daniel Kamensky, co-chair of the unsecured creditors committee in the Neiman Marcus Group Ltd. LLC Chapter 11 bankruptcy proceedings, with abusing his position on the committee to attempt to benefit a...
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September 08, 2020, 08:45 AM
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The Securities and Exchange Commission announced that broker Cantor Fitzgerald & Co. will pay more than $647,000 and broker BMO Capital Markets Corporation will pay over $3.9 million to settle charges of improper handling of "pre-released" American...
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August 19, 2019, 08:40 AM
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The Securities and Exchange Commission took another significant step toward establishing the regulatory regime for security-based swap dealers today by adopting a package of rules and rule amendments under Title VII of the Dodd-Frank Act. These and...
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June 24, 2019, 09:00 AM
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Business Development Companies (BDCs) that rely on Collateralized Loan Obligations (CLOs) as a part of their funding strategies can breathe a little easier after the Securities and Exchange Commission suggested it would not take enforcement action...
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September 13, 2018, 07:56 AM
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The Securities and Exchange Commission announced that Moody’s Investors Service Inc., one of the nation’s largest credit ratings agencies, has agreed to pay a total of $16.25 million in penalties to settle charges involving internal control failures...
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August 29, 2018, 07:14 AM
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The Securities and Exchange Commission announced that four private equity fund advisers affiliated with Apollo Global Management have agreed to a $52.7 million settlement for misleading fund investors about fees and a loan agreement and failing to...
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August 25, 2016, 07:43 AM
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The Securities and Exchange Commission charged a Rhode Island agency and its bond underwriter Wells Fargo Securities with defrauding investors in a municipal bond offering to finance startup video game company 38 Studios. The Rhode Island Economic...
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March 08, 2016, 08:08 AM
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The Securities and Exchange Commission announced that an investment advisory firm in Philadelphia has agreed to pay more than $21 million to settle charges that it fraudulently retained fees belonging to collateralized debt obligation (CDO)...
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September 04, 2015, 07:58 AM
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