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


Bates Research  |  03-07-14

Puerto Rico Debt Issuance

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


Bates Research  |  02-28-14

FINRA and Expungement

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


Bates Research  |  02-21-14

Municipal Defaults

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


Bates Research  |  02-13-14

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 this week, Fitch joined the other two rating agencies, and moved Puerto Rico below investment grade.


Bates Research  |  02-07-14

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 S&P for a possible downgrade on January 24th. 


Bates Research  |  01-31-14

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 among them was an increase in the required minimum wage for some federal contractors to $10.10. 


Bates Research  |  01-24-14

Accounting Fraud

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


Bates Research  |  01-16-14

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 billion.


Bates Research  |  01-10-14

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 environment.  In the area of suitability, FINRA specifically identified complex products and interest-rate-sensitive fixed income products as a focus for scrutiny.


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