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Results: 1-10 of 110

U.S. Securities and Exchange Commission investigates Washington-based regional center
  • Greenberg Traurig LLP
  • USA
  • August 25 2015

The U.S. Securities and Exchange Commission (“SEC”) filed a civil fraud suit on August 24, 2015 against a Seattle developer, who had raised $125


Uncertainty continues for the SEC’s conflict minerals reporting regime after D.C. Circuit confirms First Amendment violation
  • Greenberg Traurig LLP
  • USA
  • August 28 2015

On Aug. 18, 2015, a three-judge panel of the U.S. Court of Appeals for the D.C. Circuit in a 2-1 decision upheld its April 2014 ruling in National


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


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


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


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


Gaining whistleblower protection: engaging in activity protected by Dodd-Frank is not enough
  • Greenberg Traurig LLP
  • USA
  • November 19 2014

Earlier this month, a district court ruled that an employee simply engaging in activity protected by the Dodd-Frank Act's anti-retaliation provision


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


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


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