News - Bates Research

SEC - Investment Fund Fraud

Bates Research  |  05-16-14

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 fund fraud.

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FINRA fines IPO Process

Bates Research  |  05-09-14

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 issues arose as a result of Morgan Stanley's completion of its $9.4 billion acquisition of Smith Barney from Citigroup last year, after a four-year buyout process.

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Puerto Rico Announces 2014 Budget

Bates Research  |  05-02-14

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 Governor Padilla in conjunction with a roadmap for Puerto Rico's future through 2018. 

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Litigation Trends

Bates Research  |  04-25-14

Litigation Trends

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

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Q1 Bank Earnings Announced

Bates Research  |  04-18-14

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 was a profit of $833 million, the bank reported a loss of $276 million.

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Puerto Rico Restructuring Hire

Bates Research  |  04-10-14

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. 

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Crisis Related Bank Fines

Bates Research  |  04-04-14

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 sold to Fannie Mae and Freddie Mac. 

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Corporate Cash - Fact or Fiction

Bates Research  |  03-28-14

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 a pile of cash?  Many pundits are now questioning the accuracy of this analysis.

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Federal Reserve Policy Changes

Bates Research  |  03-20-14

Federal Reserve Policy Changes

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

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FTC Investigates Herbalife

Bates Research  |  03-14-14

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 in Herbalife, a California-based nutrition company

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