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Results: 1-10 of 36

Georgia investment advisor launches Article II constitutional challenge to the SEC’s use of ALJs and seeks discovery

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • February 20 2015

Yesterday, Gray Financial Group, Inc. ("Gray"), an Atlanta based investment advisor and Greenberg Traurig client, and two of its officers filed a

Supreme Court issues guidance on disclosure of opinions in registration statements

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • March 26 2015

In a highly anticipated opinion issued earlier this week in Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund, 575 U.S

No broker-customer relationship absent a direct connection to investment-related services provided by the brokerage firm

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • August 14 2013

A Utah federal district court is the latest to join the chorus of opinions holding that a would-be arbitration claimant cannot proceed with a FINRA

Gaining whistleblower protection: engaging in activity protected by Dodd-Frank is not enough

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • November 19 2014

Earlier this month, a district court ruled that an employee simply engaging in activity protected by the Dodd-Frank Act's anti-retaliation provision

U.S. District Court vacates SEC rule on extractive industries disclosure requirements; issuers await decision on conflict minerals rule

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • July 8 2013

Rule 13q1 under the Securities Exchange Act of 1934 (the Exchange Act), adopted by the Securities and Exchange Commission (the Commission) in August

The Netherlands as an alternative forum for cross border class settlements and the potential consequences for claims by ‘foreign cubed’ plaintiffs under U.S. securities laws

  • Greenberg Traurig LLP
  • -
  • Netherlands, USA
  • -
  • January 12 2010

In any litigation, and particularly in disputes regarding mass claims, there are times when various settlement options have to be considered

SEC announces new enforcement initiatives, updates enforcement manual to credit cooperation

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • January 15 2010

On January 13, 2010, Robert Khuzami, Director of the Securities and Exchange Commission’s Division of Enforcement, announced several new initiatives aimed at improving the SEC’s enforcement program and fostering cooperation by individuals and companies involved in investigations and enforcement proceedings

Morrison v. National Australia Bank

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • July 19 2010

The Supreme Court’s dismissal of the Morrison v. National Australia Bank case will limit securities claims by investors who bought shares in non-U.S. companies on foreign exchanges

Sold short recent application of the Billing preclusion analysis by the Second Circuit represents another set back for plaintiffs

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • March 9 2010

On December 2, 2009, the Second Circuit for the first time applied the four considerations set forth by the Supreme Court in its 2007 Billing decision for determining the preclusive effect of federal securities laws on the application of the antitrust laws

First Circuit en banc decision clarifies standard for liability under SEC Rule 10b-5(b)

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • March 15 2010

On March 10, 2010, the First Circuit en banc issued an important decision regarding civil liability under Securities and Exchange Commission Rule 10b-5(b), SEC v. Tambone, __ F.3d __, 2010 WL 796996 (1st Cir. Mar. 10, 2010), concluding that to be liable under Rule 10b-5(b), a person must actually make the statement at issue, not just use or disseminate a statement written by someone else