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Second Circuit holds contractual forum selection clause supersedes FINRA mandatory arbitration rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 29 2014

On August 21, the US Court of Appeals for the Second Circuit decided two closely watched appeals regarding the intersection of Financial Industry

Second Circuit decision provides guidance for drafting enforceable broker-dealer agreement forum selection clause

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 4 2014

On August 21, the US Court of Appeals for the Second Circuit decided two closely watched appeals regarding the intersection of Financial Industry

Investment Advisers Act has a onethree-year statute of limitations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 13 2009

The U.S. District Court for the Eastern District of Texas adopted the magistrate judge’s findings and recommended disposition and granted summary judgment in favor of the defendants

Attendance at executive committee meetings insufficient to satisfy group pleading doctrine

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 22 2010

The U.S. District Court for the Southern District of New York recently granted defendants’ motions to dismiss a consolidated class action asserting claims for securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 brought by shareholders of Celestica, Inc., a Canadian electronics corporation, against the company and its former officers, as well as against Onex Corporation, the largest controlling shareholder of Celestica, and Onex’s CEO (together, the Onex defendants) based on, among other things, the plaintiffs’ failure to plead fraud with the specificity required by Rule 9(b) of the Federal Rules of Civil Procedure

Securities class action dismissed where information was publicly available

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 31 2014

The US District Court for the Western District of Washington recently dismissed a securities fraud class action against Zillow, Inc. and named

SEC successful in rare application of Section 1103 of Sarbanes-Oxley Act

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 11 2008

On April 9, the Securities and Exchange Commission announced the successful completion of its efforts to prevent a $29.5 million severance package from being paid to the former CEO of Gemstar-TV Guide International, Henry C. Yuen, who committed securities fraud prior to leaving Gemstar

SEC files insider trading action despite unknown tipper

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 14 2014

On February 6, the Securities and Exchange Commission filed insider trading charges against Hao He aka Jimmy He in federal district court in

New York jury acquits former hedge fund manager of insider trading conspiracy

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 11 2014

In the first case of approximately 81 insider cases that the S.D.N.Y. has successfully brought alleging insider trading, a New York federal jury

District Court holds video game company’s optimistic statements are not actionable

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 31 2014

The US District Court for the Northern District of California recently dismissed a securities fraud class action against Electronic Arts, Inc. (EA

New York Court of Appeals finds life settlement brokers have a fiduciary duty to their clients

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 2 2009

In October 2006, the Attorney General of New York State commenced an enforcement action against Coventry First LLC and its parent corporation, executive vice-president and an affiliate (collectively, Coventry First