We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

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 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

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

SEC issues its first whistleblower program award

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • August 23 2012

On August 21, 2012, the SEC announced its first whistleblower award payout of nearly $50,000 to a whistleblower who helped the agency halt a multi-million dollar fraud

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

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • 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

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

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

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

U.S. Supreme Court limits liability under Rule 10b-5

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • June 14 2011

In Janus Capital Group Inc. v. First Derivative Traders, 564 U.S. ___ (2011), issued Monday, June 13, 2011, the U.S. Supreme Court endorses a bright-line test on who can be held liable for making a false statement to investors under Rule 10b-5 and Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. 78j(b

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