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USA - May 2 2013
May 1, 2013 -- In an important appellate victory for the industry in the longrunning series of so-called "revenue sharing" cases, the United States…
USA - February 9 2012
This week, the United States Court of Appeals for the Second Circuit vacated a Connecticut federal district court order certifying a class of 401(k) plan trustees in the long-running Haddock
USA - September 12 2011
Following its earlier holding in Hecker v. Deere & Co., 556 F.3d 575 (7th Cir. 2009), the United States Court of Appeals for the Seventh Circuit has again rejected ERISA breach of fiduciary duty claims brought against a plan sponsor by plan participants challenging the sponsor's offering of "retail" mutual funds as investment options in its defined-contribution retirement plan.
USA - July 7 2010
The SEC recently created five "national specialized units" dedicated to enforcement efforts in "particular highly specialized and complex areas of securities law," as well as a new Office of Market Intelligence to oversee the analysis of tips and other information provided to the agency by external sources.
USA - July 7 2010
In a March 30, 2010 opinion addressing two separate cases brought against Fidelity, the United States District Court in Massachusetts denied Fidelity's motions to dismiss employment retaliation claims under Section 806 of the Sarbanes-Oxley Act (SOX).
