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Manatt Phelps & Phillips LLP | USA | 27 Mar 2019

Madden Litigation Sputters Out With Settlement

After eight years of litigationand a major ruling from the U.S. Court of Appeals for the Second Circuit that has spawned uncertainty and a


Herbert Smith Freehills LLP | USA, Ireland | 23 Feb 2018

US Supreme Court Limits The Scope "Whistleblowers" Under Dodd-Frank Act's Anti-Retaliation Provision

On February 21, 2018, the US Supreme Court decided that the Dodd-Frank Act’s whistleblower protections do not extend to an individual who has not


Winston & Strawn LLP | USA, United Kingdom, European Union | 24 Apr 2017

Financial Services Update, Vol. 12, Issue 17

Among recent financial services regulatory developments, there appear to be at least four worthy of particular note. First, the Consumer Financial


Winston & Strawn LLP | USA | 9 Feb 2015

Financial services update February 9 2015 judicial developments

On February 4th, the First Circuit affirmed the dismissal of a shareholder derivative suit alleging that Smith & Wesson made misleading statements


Herbert Smith Freehills LLP | USA | 2 Oct 2014

U.S. federal appeals court limits extraterritorial application of anti-fraud provisions of the U.S. federal commodities laws

The US Court of Appeals for the Second Circuit in Loginovskaya v. Batratchenko, 13-1624-CV (2d Cir. N.Y. Sept. 4, 2014), upheld a lower-court's


Winston & Strawn LLP | USA | 25 Aug 2014

Financial services update August 25 2014 judicial developments

On August 21st, the Second Circuit affirmed district court orders enjoining FINRA arbitrations. In these two consolidated cases, appellants sought


Bingham McCutchen LLP | USA | 15 Aug 2014

Second Circuit defines ‘customer’ under FINRA arbitration rules

The U.S. Court of Appeals for the Second Circuit has provided a measure of clarity in limiting the definition of a "customer" who may bring a FINRA


Hunton Andrews Kurth LLP | USA | 1 Aug 2011

Costs relating to regulatory investigations, derivative lawsuits and independent consultant’s investigations are covered under contracts for directors’ and officers’ liability insurance

In MBIA Inc. v. Fed. Ins. Co., No. 10-0355-cv, 2011 U.S. App. Lexis 13402 (2d Cir. July 1, 2011), the United States Court of Appeals for the Second Circuit held that a policyholder was entitled to coverage under a directors’ and officers’ liability insurance contract for costs associated with financial regulators’ investigations, including costs associated with the investigation of a derivative shareholder litigation and the cost of an independent consultant’s investigation pursuant to a settlement with government regulators.


Winston & Strawn LLP | USA | 7 Dec 2009

Short seller's antitrust claim is implicitly precluded by the securities laws

On December 3rd, the Second Circuit affirmed the dismissal of an antitrust claim.


Kilpatrick Townsend & Stockton LLP | USA | 6 Jul 2009

Supreme Court permits state enforcement authority over national banks

Recently, the United States Supreme Court, in a 5-4 decision, held in Cuomo v. The Clearing House Association that the Office of the Comptroller of the Currency’s (the “OCC”) regulation purporting to preempt state law enforcement was not a reasonable interpretation of the National Bank Act.

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