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Results: 1-10 of 24

Changes in securities & insurance regulation affecting enforcement strategies ALI-ABA conference on insurance & financial services litigation

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • July 19 2010

Speakers at the ALI-ABA's annual conference on insurance and financial services regulation in Chicago offered extensive commentary on changes in enforcement strategies for insurance and securities fraud, in light of recent overhauls to the regulatory scheme

SDFL judge finds for Wachovia in unique auction rate securities suit

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • May 18 2010

A federal judge in the United States District Court for the Southern District of Florida recently issued findings of fact and conclusions of law following a bench trial in favor of Wachovia in a suit brought by investors who were unable to liquidate certain Auction Rate Securities ("ARS") originally purchased through Wachovia

Supreme Court upholds Gartenberg test for mutual funds’ compensation of investment advisers

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • May 5 2010

The Supreme Court recently issued an important decision regarding the test for determining whether an investment adviser has violated its "fiduciary duty" to a mutual fund by charging excessive fees under 36(b) of the Investment Company Act of 1940

Second Circuit allows securities fraud claim alleging misrepresentations regarding nature, but not amount, of mutual fund’s fees

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • April 27 2010

The Second Circuit recently overturned the Southern District of New York’s dismissal of a claim under 10(b) Securities Exchange Act of 1934 relating to management fees charged to a mutual fund in Operating Local 649 Annuity Trust Fund v. Smith Barney Fund Management LLC

International Public Company D&O: Status & Trends - Canada

  • Edwards Wildman Palmer LLP
  • -
  • Canada
  • -
  • April 14 2010

Class action securities claims are a perennially interesting topic for attorneys and companies around the world and across industries

Cornerstone’s review and analysis of 2009 securities class action settlements

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • March 29 2010

Cornerstone Research released its report on its review and analysis of 2009's securities class action settlements

District of New Jersey dismisses securities fraud claims against company that suffered data breach

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • March 29 2010

Late last year, the United States District Court for the District of New Jersey dismissed a securities fraud litigation that had been brought against a payment card processor in connection with the theft, by cybercriminals, of credit and debit card information from the company's computer system

Financial Service Authority wins appeal case on co-operation with overseas regulators

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • March 4 2010

The Financial Services Authority (FSA) went to the Court of Appeal to seek clarification regarding its obligation to co-operate with the Securities and Exchange Commission (SEC

FSA prosecutes for change of control offence

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • February 19 2010

Semperian PPP Investment Partners (Semperian) has pleaded guilty to an offence under section 191(3) of the Financial Services and Markets Act 2000

Two more dismissals of Securities Act lawsuits against rating agencies

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • February 19 2010

Judge Lewis Kaplan of the U.S. District Court for the Southern District of New York granted McGraw Hill and Moody's (together, the "Ratings Agencies") motions to dismiss in both Tsereteli v. Residential Asset Securitization Trust 2006-A8 et al. and In re: IndyMac Securities Litigation - but without issuing detailed written opinions