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Results: 1-10 of 146

The Supreme Court Agrees to Determine Whether SEC Actions Seeking Disgorgement are Subject to the Five-Year Limitations Period Set Forth in 28 U.S.C. 2462
  • Greenberg Traurig LLP
  • USA
  • January 18 2017

At the urging of both an individual petitioner and the SEC, the Supreme Court has agreed to resolve a recent circuit split as to whether the


Securities Litigation - What to Watch in 2017
  • Greenberg Traurig LLP
  • USA
  • January 9 2017

2016 was a banner year for securities-related litigation. As we noted in our Dec. 6, 2016 edition of GT Insights, SEC Enforcement Actions increased


The Dutch Act on Collective Settlement of Mass Claims (WCAM) Goes Global Again: A Forum Outside the United States to Resolve Mass Claims Disputes Internationally
  • Greenberg Traurig LLP
  • Netherlands, USA
  • March 29 2016

On March 14, 2016, Ageas (formerly, Fortis Bank) and several foundations representing the Fortis shareholders announced a EUR 1.204 billion


10th Circuit Declares SEC Administrative Law Judges Unconstitutional and Creates Circuit Split
  • Greenberg Traurig LLP
  • USA
  • January 9 2017

On Dec. 27, 2016, the United States Court of Appeals for the Tenth Circuit held in Bandimere v. U.S. SEC that the SEC's administrative law judges


The 10th Circuit Declares SEC’s Home Courts to be Unconstitutional and Creates Circuit Split
  • Greenberg Traurig LLP
  • USA
  • December 29 2016

Right after Christmas, the United States Court of Appeals for the Tenth Circuit delivered a lump of coal to the Securities and Exchange Commission in


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. Supreme Court Holds that “Gift” of Confidential Information to Friends and Family is Sufficient to Establish Personal Benefit for Insider Trading Liability
  • Greenberg Traurig LLP
  • USA
  • December 19 2016

On Dec. 6, 2016, in Salman v. United States, the U.S. Supreme Court unanimously held that an insider's "gift" of confidential information to a


Ninth Circuit reverses securities fraud conviction based on admission of prior complaint
  • Greenberg Traurig LLP
  • USA
  • September 14 2012

Rather than attempt to prove their claims with facts and evidence that relate to their own dealings with their brokers, securities claimants far too often instead seek to smear respondents by parading before the arbitrators (or the judge or jury) unrelated past complaints and settlements regardless of their merits or relevance or whether any factual findings were ever made or admitted


United States district court judge denies intervention motion by expert witness McCann, finding that “he took a check, and he took an oath, but he was faithful to only one”
  • Greenberg Traurig LLP
  • USA
  • March 22 2012

Judge Lynn Hughes of the United States District Court for the Southern District of Texas denied the Motion by expert witness Craig McCann to intervene in vacatur proceedings involving 19 individualcorporate investors and brokerage firm Morgan Keegan, Morgan Keegan & Company, Inc. v. John J. Garrett, et al., U.S.D.C., S.D. Tex., Case No. 4:10-cv-04308


Omnicare Applied to Audit Reports by the Second Circuit
  • Greenberg Traurig LLP
  • USA
  • May 23 2016

On Friday, May 20, 2016, the Second Circuit issued the first opinion by a Circuit Court applying the Supreme Court's Omnicare decision to audit