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Results: 1-10 of 33

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

U.S. District Court in Atlanta rules against the SEC in an insider trading case, describing the SEC's evidence as 'overreaching' and 'self-serving'

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • January 16 2014

The U.S. Securities and Exchange Commission (SEC) lost an insider trading case last week in federal court in the Northern District of Georgia. SEC v

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

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

Is the would-be arbitration claimant a brokerage firm “customer?” The Fourth Circuit says both “yes” and “no”

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

It makes sense that a brokerage firm can only be forced to arbitrate claims by its customers for investment activity occurring at that brokerage firm

ERISA fiduciary breach for failure to monitor fees leads to $35 million class action hit

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • June 28 2012

In the first class action over 401(k) fees to be tried and decided on its merits, a Missouri federal district court ruled in March that manufacturer ABB Inc. breached its Employee Retirement Income Security Act (ERISA) fiduciary duties

Supreme Court modifies class certification procedure in securities fraud class actions

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • June 25 2014

On June 23, 2014, the Supreme Court issued its second decision in the long-running securities fraud class action against Halliburton (Halliburton II

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

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • 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
  • -
  • USA
  • -
  • 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

Supreme Court preview: securities law cases on the docket

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • October 6 2009

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