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Category Archives: Banking and Finance law
Judges weighing appeal by billionaire John Paul DeJoria and recidivist Howard Appel
A federal appeals panel is mulling whether billionaire John Paul DeJoria, recidivist securities fraudster Howard M. Appel and two other defendants should have to pay $21.4 million in damages arising from the looting and bankruptcy of a Texas company. Three … Continue reading
Posted in Banking and Finance law
Tagged Appeal, Appel, Billionaire, DeJoria, Howard, John, Judges, Paul, Recidivist, weighing
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Brexit: European Council and UK agree further extension to Article 50
The EU Withdrawal (No.5 Bill) received Royal Assent earlier this week becoming the European Union (Withdrawal) Act 2019 (the 2019 Act). Section 1 of the 2019 Act places a legal obligation on the Government, requiring a Minister to move a … Continue reading
Posted in Banking and Finance law
Tagged agree, Article, Brexit, Council, European, extension, further
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SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee
The Securities and Exchange Commission today released the agenda for the April 15 meeting of the Fixed Income Market Structure Advisory Committee. The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice … Continue reading
SEC enforcement officials give tips on cooperation, Wells process at SEC Speaks
By Amanda Maine, J.D. SEC Enforcement Co-Directors Stephanie Avakian and Steve Peikin led a panel discussion with Division officials at this year’s PLI SEC Speaks conference in Washington, D.C. The officials gave advice on how to communicate with the Division … Continue reading
Posted in Banking and Finance law
Tagged Cooperation, Enforcement, give, Officials, Process, Speaks, Tips, Wells
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SEC issues first No-Action Letter for Unregulated ICO
On April 3, 2019, the Securities and Exchange Commission (“SEC”) issued its first no-action letter related to the offering and sale of digital tokens. The beneficiary is TurnKey Jet, Inc. (“TurnKey”) which proposes to offer and sell blockchain-based digital assets … Continue reading
Posted in Banking and Finance law
Tagged First, Issues, Letter, NoAction, Unregulated
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