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Chapter 11 Investment Adviser

Seward & Kissel LLP

SEC Fines Twenty-Six Firms for Recordkeeping Failures in Latest Off-Channel Communications Sweep

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Who may be interested: Investment Advisers; Broker-Dealers; Registered Investment Companies - Quick Take: The SEC settled charges against twenty-six firms, including three investment advisers, eleven broker-dealers, and 11...more

Pierce Atwood LLP

Maine Office of Securities Enforcement Update

Pierce Atwood LLP on

The Maine Office of Securities enforces Maine’s securities laws, licenses broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives, and reviews registration statements and exemption...more

Seward & Kissel LLP

Run on the Banc? Avaya Pre-Packed and Ready to Go, Celsius’ Innovative Exit, and FTX Fallout

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Judge indicates intention to dismiss J&J talc unit bankruptcy | Reuters - Bankruptcy Judge Michael Kaplan said this week that he intends to dismiss the bankruptcy case filed by Johnson & Johnson's subsidiary, LTL...more

Pullman & Comley, LLC

Bankruptcy Beat: Jockeys Nearing Finishing Line in 25-Year Civil and Bankruptcy Litigation with their Former Business Managers

Pullman & Comley, LLC on

Hall of fame horse racing jockeys Laffit Pincay, Jr. and Chris McCarron first sued their former business managers, Vincent and Robert Andrews, in California District Court in 1989 for fraud, breach of fiduciary duty and other...more

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