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Securities News
   
Monday, July 15, 2019
 
Vol. 17, No. 597
 
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 IN THE NEWS
Industry Update
 REGULATORY
CFTC
FINRA
 EXCHANGES
NYSE
AMEX
NASDAQ
 LITIGATION
Federal Courts
State AG
Class Actions
 ALSO OF NOTE
News & Transactions
 

To see archives click on a section title on the right.

 
  PinHawk Law Firm News and Press
 

REGULATORY

CFTC

  1. CFTC Files and Settles Enforcement Actions Against Two Futures Commission Merchants and an Introducing Broker Arising from Unauthorized Trading and Improper Bunched Orders, CFTC: Press Releases, July 12, 2019
  2. CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Supervise Its Employees, CFTC: Press Releases, July 12, 2019
  3. CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges that It Failed To Supervise Its Employees, CFTC: Press Releases, July 12, 2019
  4. CFTC Orders Dean Katzelis and Shahin Maleki d/b/a Essex Futures to Pay a $500,000 Penalty to Settle Charges of Unauthorized Options Trading, Failure to Supervise, and Other Violations, CFTC: Press Releases, July 12, 2019
  5. CFTC Issues Order Finding that Korea Exchange, Inc. Made a False and Misleading Certification to the CFTC, CFTC: Press Releases, July 12, 2019
  6. Statement of CFTC Commissioner Dawn D. Stump Announcing Important Progress in the CFTC’s Data Protection Initiative, CFTC: Speeches & Testimony, July 12, 2019
  7. Maggie Sklar to Depart CFTC Chairman Giancarlo’s Office, CFTC: Press Releases, July 12, 2019
  8. CFTC Commissioner Stump Announces Progress in the CFTC’s Data Protection Initiative, CFTC: Press Releases, July 12, 2019

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EXCHANGES

NYSE

  1. Clearpool Execution Services, LLC, New York Stock Exchange: Disciplinary Actions, July 12, 2019
  2. Clearpool Execution Services, LLC, New York Stock Exchange: Disciplinary Actions, July 12, 2019
  3. Clearpool Execution Services, LLC, New York Stock Exchange: Disciplinary Actions, July 12, 2019
  4. Proposal to amend the NYSE Arca Equities Fees and Charges to adopt new pricing tiers, Mid-Point Liquidity Orders Step Up Tier 1 and 2, and modify current Tier 3, New York Stock Exchange: Rule Proposals, July 12, 2019

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LITIGATION

State Attorney General Releases

  1. Michigan AG Joins Effort to Protect Consumers from Unsolicited Overdraft Fees, Attorney General: Michigan, July 12, 2019
  2. North Logan man charged with raping a child after luring her to his apartment using Snapchat, Attorney General: Utah, July 12, 2019
  3. Drinking Water State Revolving Fund Accepting Proposals for SAFE Grants, Attorney General: Delaware, July 12, 2019

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ALSO OF NOTE

News & Transactions

  1. DLH's $70 million Acquisition of Social & Scientific Systems - Global Legal Chronicle, (Hogan Lovells), July 15, 2019
  2. Pandox AB's €103 Million Acquisition of three HR Group hotel properties - Global Legal Chronicle, (Hogan Lovells), July 15, 2019
  3. Commerz Real And Wertgrund Immobilien's Acquisition Of A Project Development In Darmstadt - Global Legal Chronicle, (Greenberg Traurig), July 15, 2019
  4. Hillenbrand's $2 Billion Acquisition of Milacron - Global Legal Chronicle, (Ropes & Gray; Skadden Arps), July 15, 2019
  5. Clearlake Capital Completes The Acquisition Of Dude Solutions - New Kerala, (Willkie Farr & Gallagher), July 14, 2019
  6. Radiology Partners' Acquisition of Radiology Affiliates Imaging - Global Legal Chronicle, (Holland & Knight; Fox Rothschild), July 14, 2019
  7. NeuBase Therapeutics Closes Merger Transaction with Ohr Pharmaceutical - Yahoo Finance, (Troutman Sanders; Paul Hastings), July 13, 2019
  8. Motorola Solutions' Acquisition of WatchGuard, Inc. - Global Legal Chronicle, (Winston & Strawn), July 13, 2019
  9. Aflac Incorporated Announces Acquisition of Florida-based Argus Holdings, LLC, Accelerates Aflac's Strategy of Delivering Best-in-Class Network Dental and Vision Products to Employers and Unique Solutions to Distribution Partners - Yahoo Finance, (Sidley Austin), July 13, 2019
  10. KKR's Acquisition Of Corel Corporation - Global Legal Chronicle, (Kirkland & Ellis; Sidley Austin), July 13, 2019
  11. Bar Harbor Bank & Trust's Acquisition Of Eight Branches Of People's United Bank - Global Legal Chronicle, (K & L Gates; Hogan Lovells), July 13, 2019
  12. Synthomer's $824 Million Acquisition Of OMNOVA - Global Legal Chronicle, (Jones Day), July 12, 2019
  13. Forterro's Acquisition of ERP Vendor abas Software - Global Legal Chronicle, (White & Case), July 12, 2019
  14. Karo Pharma's $360 Million Acquisition of Trimb - Global Legal Chronicle, (White & Case), July 12, 2019
  15. Alight's Acquisition Of Hodges-Mace - Global Legal Chronicle, (Shearman & Sterling), July 12, 2019
  16. Teijin Holdings Netherlands BV's Acquisition Of Benet Automotive - Global Legal Chronicle, (Clifford Chance), July 12, 2019

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