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News - July 02 2014

Puerto Rico Recovery Act

On June 25th, Governor Padilla laid out a proposal to allow some of Puerto Rico's public corporations to enter into a bankruptcy-like…

News - June 30 2014

The Jobs Recession is Finally Over

Six-and-a-half years after the onset of the recession, the total number of people employed has finally risen above pre-recession levels, marking the…

News - June 20 2014

Fannie, Freddie and Housing

Fannie Mae and Freddie Mac had stellar results in 2013, which have continued into 2014.

News - June 13 2014

FINRA Warns on HY CDs

FINRA issued a new investor alert recently warning against potential scams involving high-yield CDs.

News - June 06 2014

Puerto Rico Faces Unified Strike

Bates Group, via our strong connections to the island, has been hearing rumors of a government strike for the last several weeks. …

News - May 30 2014

A Shrinking Economy in the First Quarter

The second estimate of U.S. GDP showed the economy contracting in the first quarter for the first time in three years. In…

White Paper

Regulatory Brief - Rules for CPOs and CTAs

News - May 23 2014

CLOs – The Quest for Yield

As we enter the summer months of 2014, following a five year bull market in equities, the quest by professional investment managers…

News - May 16 2014

SEC - Investment Fund Fraud

In the last month, the SEC's Enforcement division had substantial activity on seven civil actions and one criminal action related to investment…

News - May 09 2014

FINRA fines IPO Process

FINRA announced a $5 million fine against Morgan Stanley Smith Barney this week related to its retail IPO sales practices.  The internal…

News - May 02 2014

Puerto Rico Announces 2014 Budget

This week,  Puerto Rico unveiled its first budget in twenty years that did not include borrowing.  The balanced budget was announced by…

News - April 25 2014

Litigation Trends

Law firm Norton Rose Fulbright recently released their 10th annual survey of corporate litigation trends. 

News - April 18 2014

Q1 Bank Earnings Announced

This past Wednesday, Bank of America made headlines when it dramatically missed analysts' expectations for its first quarter earnings - the consensus…

White Paper

Private Placements

News - April 10 2014

Puerto Rico Restructuring Hire

Puerto Rico made headlines again this week when it confirmed the hiring of noted debt restructuring firm Cleary Gottlieb Steen & Hamilton. 

News - April 04 2014

Crisis Related Bank Fines

Last week, the Federal Housing Finance Agency announced that it had reached a settlement with Bank of America over mortgages the bank…

News - March 28 2014

Corporate Cash - Fact or Fiction

Many examinations of corporate behavior during the credit crisis and subsequent recovery have focused on one issue - are companies sitting on…

News - March 20 2014

Federal Reserve Policy Changes

On Wednesday of this week, the Federal Reserve Open Market Committee released its latest forecasts for the U.S. economy.

News - March 14 2014

FTC Investigates Herbalife

In May of 2012, Pershing Square Capital, a $12 billion hedge fund run by William Ackman, first began compiling a short position…

News - March 07 2014

Puerto Rico Debt Issuance

This week the Puerto Rico Legislature approved the proposed issuance of a $3.5 bln General Obligation Bond issue.  

News - February 28 2014

FINRA and Expungement

During its February 2014 Board Meeting, FINRA finalized a new proposed rule limiting the use of expungement in the arbitration process. 

News - February 21 2014

Municipal Defaults

2013 was a challenging year for municipal markets, with the downgrades of Puerto Rico continuing that trend into 2014.

News - February 13 2014

Puerto Rico Downgrades Continue

After our post was published last Friday the 7th, Moody's joined S&P in downgrading Puerto Rico below investment grade.  On Tuesday of…

News - February 07 2014

Puerto Rico Downgrade

On Tuesday, S&P downgraded Puerto Rico below investment grade from BBB- to BB+.  The island had previously been placed on watch by…

News - January 31 2014

A Minimum Wage Increase

On Tuesday evening President Obama used his State of the Union Address to outline key policy initiatives for the next year.  Included…

News - January 24 2014

Accounting Fraud

The SEC recently announced that it has reached a $5 million settlement related to earnings manipulation by Diamond Foods, Inc. 

News - January 16 2014

Google Acquires Nest

On January 14, Google continued its push into physical products and away from net-based ones with its acquisition of Nest for $3.2…

White Paper

Regulatory Brief - ERA

News - January 10 2014

Complex Product Suitability

On January 2, FINRA published its regulatory and examination priorities, highlighting what it sees as significant risks and issues in today’s market…

News - January 03 2014

FINRA and Non-Traded REITs

FINRA is in the process of rolling out new regulations which will govern non-traded REITs, one of the fastest growing investment vehicles…

News - December 27 2013

The “Volcker Rule”

On December 10, five U.S. regulators agreed to formally impose trading restrictions on U.S. banks.

News - December 20 2013

Federal Reserve Tapering

This last Wednesday the Federal Reserve announced that it would begin tapering its purchase of securities, winding down the third round of…