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Results: 1-10 of 105

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


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


Conflict minerals rule update: emergency motion filed for complete stay of SEC's conflict minerals rule
  • Greenberg Traurig LLP
  • USA
  • May 7 2014

As public companies struggle to craft disclosure in their first Form SD filings due May 31, 2014 (June 2, 2014) consistent with guidance (Guidance


Circuit court denies emergency motion to stay Conflict Minerals Rule; May 31 reporting deadline remains in place
  • Greenberg Traurig LLP
  • USA
  • May 16 2014

On May 14, 2014, the D.C. Circuit Court of Appeals denied the emergency motion filed by the National Association of Manufacturers and others for a


Takeaways from Del. High Court's MFW ruling
  • Greenberg Traurig LLP
  • USA
  • March 19 2014

Law360, New York (March 18, 2014, 9:55 PM ET) -- In a significant case of first impression, the Delaware Supreme Court, in Kahn v. M&F Worldwide Corp


D.C. District Court upholds SEC’s conflict minerals rules, GAO report questions effectiveness on humanitarian efforts
  • Greenberg Traurig LLP
  • USA
  • July 24 2013

On July 23, 2013, the U.S. District Court for the District of Columbia entered summary judgment in favor of the U.S. Securities and Exchange


Oregon flocks to fraud on the market
  • Greenberg Traurig LLP
  • USA
  • January 23 2013

In a recent decision, State v. Marsh & McLennan Companies, Inc., 2012 WL 6212518 (Or. Dec. 13, 2012), the Oregon Supreme Court gave birth to a state


Georgia investment advisor launches Article II constitutional challenge to the SEC’s use of ALJs and seeks discovery
  • Greenberg Traurig LLP
  • USA
  • February 20 2015

Yesterday, Gray Financial Group, Inc. ("Gray"), an Atlanta based investment advisor and Greenberg Traurig client, and two of its officers filed a


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


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