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Ninth Circuit holds that federal securities laws preempt California Labor Code's ban on forced patronage at brokerage firms

Sheppard Mullin Richter & Hampton LLP
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USA
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May 9 2013

In McDaniel v. Wells Fargo Investments, LLC, Nos. 11-17017, 11-55859, 11-55943, 11-55958, 2013 WL 1405949 (9th Cir. Apr. 9, 2013), the United States

District Court grants motion to compel against SEC, holding that "facts" are not work product in SEC confidential witness interviews

Sheppard Mullin Richter & Hampton LLP
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USA
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May 1 2013

In a recent Securities & Exchange Commission ("SEC") investigation, the SEC interviewed three persons who had proffer agreements with the SEC and

Transfer $8 million out of accounts in New York? That action alone is not sufficient to establish personal jurisdiction

Sheppard Mullin Richter & Hampton LLP
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USA
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April 30 2013

In Henkel v. Masiero, Index No. 6504252012 (N.Y. Sup. Ct., N.Y. Cnty. Mar. 18, 2013) (the "Opinion"), the Supreme Court (J. Bransten) granted the

Delaware Supreme Court affirms preclusive effect of non-Delaware dismissals and rejects irrebuttable presumption that a derivative plaintiff who fails to conduct a Section 220 inspection is an inadequate representative

Sheppard Mullin Richter & Hampton LLP
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USA
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April 23 2013

In Pyott v. Louisiana Municipal Police Employees' Retirement System, No. 380, 2012, 2013 WL 1364695 (Del. Apr. 4, 2013), the Delaware Supreme Court

Seventh Circuit affirms dismissal of securities fraud class action, remanding question of sanctions against plaintiffs' counsel

Sheppard Mullin Richter & Hampton LLP
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USA
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April 9 2013

In City of Livonia Employee Retirement System v. Boeing Co., Nos. 12-1899, 12-2009 2013 WL 1197791 (7th Cir. Mar. 26, 2013), the United States Court

Second Circuit reverses class certification order, holding that a clearing broker's alleged knowledge of fraud against shareholders, absence direct involvement, is insufficient to create a duty of disclosure

Sheppard Mullin Richter & Hampton LLP
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USA
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March 27 2013

In Levitt v. J.P. Morgan Securities, Inc., No. 10-4596, 2013 WL 1007678 (2d Cir. Mar. 15, 2013), the United States Court of Appeals for the Second

Second Circuit reverses dismissal of Section 11 and 12(a)(2) claims, holding that plaintiff's allegations were sufficient to plead a reasonable inference of misrepresentations in a prospectus

Sheppard Mullin Richter & Hampton LLP
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USA
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March 11 2013

In New Jersey Carpenters Health Fund v. Royal Bank of Scotland Group, PLC, 2013 U.S. App. LEXIS 4317 (2d Cir. Mar. 1, 2013), the United States Court

Line in the sand: Siemens Argentina case limits personal jurisdiction under the FCPA

Sheppard Mullin Richter & Hampton LLP
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Argentina, USA
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March 8 2013

A New York federal district court judge has dismissed a Foreign Corrupt Practices Act ("FCPA") claim against a former executive of Siemens, S.A

Third Circuit reinforces limits to directors' exposure for misconduct by corporate employees

Sheppard Mullin Richter & Hampton LLP
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USA
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March 7 2013

In Belmont v. MB Investment Partners, Inc., No. 12-1580, 2013 WL 646344 (3d Cir. Feb. 22, 2013), the United States Court of Appeals for the Third

United States Supreme Court holds that class action securities fraud plaintiffs need not prove the materiality of the alleged false statements or omissions to support certification of a class, resolving circuit split

Sheppard Mullin Richter & Hampton LLP
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USA
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March 7 2013

In Amgen Inc. v. Connecticut Retirement Plans & Trust Funds, No. 11-1085, ___ WL ______ (U.S. Feb. 27, 2013), the United States Supreme Court

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Search results

Ninth Circuit holds that federal securities laws preempt California Labor Code's ban on forced patronage at brokerage firms

District Court grants motion to compel against SEC, holding that "facts" are not work product in SEC confidential witness interviews

Transfer $8 million out of accounts in New York? That action alone is not sufficient to establish personal jurisdiction

Delaware Supreme Court affirms preclusive effect of non-Delaware dismissals and rejects irrebuttable presumption that a derivative plaintiff who fails to conduct a Section 220 inspection is an inadequate representative

Seventh Circuit affirms dismissal of securities fraud class action, remanding question of sanctions against plaintiffs' counsel

Second Circuit reverses class certification order, holding that a clearing broker's alleged knowledge of fraud against shareholders, absence direct involvement, is insufficient to create a duty of disclosure

Second Circuit reverses dismissal of Section 11 and 12(a)(2) claims, holding that plaintiff's allegations were sufficient to plead a reasonable inference of misrepresentations in a prospectus

Line in the sand: Siemens Argentina case limits personal jurisdiction under the FCPA

Third Circuit reinforces limits to directors' exposure for misconduct by corporate employees

United States Supreme Court holds that class action securities fraud plaintiffs need not prove the materiality of the alleged false statements or omissions to support certification of a class, resolving circuit split

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