We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 132

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


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


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


The 11th Circuit Finds the SEC’s Claim for Disgorgement Time-Barred, Thereby Creating a Circuit Split
  • Greenberg Traurig LLP
  • USA
  • June 10 2016

Creating a split with the United States Courts of Appeals for the D.C. Circuit, the 11th Circuit Court of Appeals recently determined that the


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


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


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


SEC remains divided over conflict minerals rules; CorpFin issues guidance on compliance
  • Greenberg Traurig LLP
  • USA
  • April 30 2014

On April 29, 2014 Keith F. Higgins, the Director of the Division of Corporation Finance (CorpFin) at the Securities and Exchange Commission (SEC


California Northern District Court adopts “regulatory value” standard in granting motion for expungement of CRD records
  • Greenberg Traurig LLP
  • USA
  • September 11 2012

In Bridge v. ETrade Securities LLC, 2012 WL 3249508 (N.D. Cal. Aug. 7, 2012), the District Court granted ETrade’s motion for an order directing expungement of plaintiffs’ complaint from the Central Registration Depository (“CRD”) record of its employee pursuant to FINRA Rule 2080


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