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Results: 1-10 of 155

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


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


Supreme Court modifies class certification procedure in securities fraud class actions
  • Greenberg Traurig LLP
  • USA
  • June 25 2014

On June 23, 2014, the Supreme Court issued its second decision in the long-running securities fraud class action against Halliburton (Halliburton II


First Circuit en banc decision clarifies standard for liability under SEC Rule 10b-5(b)
  • Greenberg Traurig LLP
  • USA
  • March 15 2010

On March 10, 2010, the First Circuit en banc issued an important decision regarding civil liability under Securities and Exchange Commission Rule 10b-5(b), SEC v. Tambone, __ F.3d __, 2010 WL 796996 (1st Cir. Mar. 10, 2010), concluding that to be liable under Rule 10b-5(b), a person must actually make the statement at issue, not just use or disseminate a statement written by someone else


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


Second Circuit upholds SEC finding that willfully failing to report personal tax liens is sanctionable by disqualification
  • Greenberg Traurig LLP
  • USA
  • March 6 2012

The Second Circuit recently affirmed an SEC decision in Mathis v. SEC, 2012 WL 447378 (2d Cir. Feb. 14, 2012), finding that a registered representative’s failure to disclose tax liens on his Form U-4 was material enough to uphold a suspension of his license


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


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


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


Florida Appellate Court Declares Reliance to be an Essential Element of State Statutory Securities Claims
  • Greenberg Traurig LLP
  • USA
  • June 14 2017

On June 9, 2017, Florida’s Fifth District Court of Appeals held that a plaintiff must prove reliance to succeed on a claim for a violation of the