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U.S. District Court for the Eastern District of New York gives priority to forum selection clause over prior arbitration agreement

Greenberg Traurig LLP
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USA
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April 10 2012

The U.S. District Court for the Eastern District of New York recently held that a forum selection clause giving New York state and federal courts exclusive jurisdiction over disputes between two parties would supplant the parties’ prior arbitration agreement based on the parties’ status as FINRA members

SEC weighs in on Intercontinental Regional Center Trust of Chicago (IRCTC)

Greenberg Traurig LLP
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USA
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February 11 2013

On Wednesday, February 6, the U.S. Securities and Exchange Comission (SEC) brought a civil action alleging a myriad of SEC violations against A

United States district court judge denies intervention motion by expert witness McCann, finding that “he took a check, and he took an oath, but he was faithful to only one”

Greenberg Traurig LLP
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USA
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March 22 2012

Judge Lynn Hughes of the United States District Court for the Southern District of Texas denied the Motion by expert witness Craig McCann to intervene in vacatur proceedings involving 19 individualcorporate investors and brokerage firm Morgan Keegan, Morgan Keegan & Company, Inc. v. John J. Garrett, et al., U.S.D.C., S.D. Tex., Case No. 4:10-cv-04308

Supreme Court preview: securities law cases on the docket

Greenberg Traurig LLP
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USA
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October 6 2009

With the arrival of the first Monday in October, the Supreme Court begins its new Term

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

Greenberg Traurig LLP
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USA
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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
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USA
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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

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
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Netherlands, USA
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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
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USA
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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

In re Omnicom: Second Circuit issues stringent standard to establishing loss causation in securities fraud cases

Greenberg Traurig LLP
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USA
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April 30 2010

On March 9, 2010, the U.S. Court of Appeals for the Second Circuit issued a decision in In re Omnicom Group Inc. Securities Litigation, No. 08-612-cv, 2010 WL 774311 (2d Cir. March 9, 2010), in which the court continued to raise the bar for a securities fraud plaintiff to establish the “loss causation” element for Section 10(b) claims

Morrison v. National Australia Bank

Greenberg Traurig LLP
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USA
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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

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