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Results: 1-10 of 17,504

Rule 144 opinion letters do they protect anyone?
  • Allen Matkins Leck Gamble Mallory & Natsis LLP
  • USA
  • September 11 2013

The Ninth Circuit Court of Appeals has previously suggested that scienter is not required under Section 5. SEC v. Phan, 500 F.3d 895, 905-06 (9th


SEC will redraft, not appeal, district court rejection of resource extraction issuer payment disclosure rules
  • Porter Wright Morris & Arthur LLP
  • USA
  • September 6 2013

We wrote previously about the United States District Court for the District of Columbia vacating Securities and Exchange Commission Rule 13q-1, which


Disclosure of excerpts to SEC waived privilege despite confidentiality agreement
  • Jenner & Block LLP
  • USA
  • September 13 2013

In Gruss v. Zwirn, No. 09 Civ. 6441 (S.D.N.Y. July 10, 2013), the Southern District of New York rejected the selective waiver doctrine, and held that


Supreme Court expands scope of Sarbanes-Oxley whistleblower liability
  • Ogletree Deakins
  • USA
  • March 5 2014

Yesterday the Supreme Court of the United States issued its opinion in Lawson v. FMR LLC, No. 12-3, holding that the whistleblower protections of the


Supreme Court reconsiders fraud on the market
  • Ropes & Gray LLP
  • USA
  • March 10 2014

The Supreme Court heard oral argument last week in Halliburton Co. v. Erica P. John Fund, Inc., a case that asks the Court to overrule or sharply


More money managers face subprime lawsuits
  • Jorden Burt LLP
  • USA
  • April 15 2008

The meltdown of the U.S. subprime mortgage market continues to generate litigation against money managers and their affiliates


Subjective or objective truth? Supreme Court to decide what is an “untrue” statement of opinion
  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • USA
  • March 5 2014

On Monday, the U.S. Supreme Court granted certiorari in Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund (13-435), an


Second Circuit affirms dismissal of class action against S&P over MBS ratings
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • January 7 2013

On December 20, 2012, the Second Circuit affirmed a decision by Judge Sidney H. Stein of the Southern District of New York dismissing a putative class


The Second Circuit holds that Fait’s standard for opinion liability applies to claims under Sections 10(b) and 20(a) of the Exchange Act
  • Simpson Thacher & Bartlett LLP
  • USA
  • December 21 2012

In Fait v. Regions Fin. Corp., 655 F.3d 105 (2d Cir. 2011) (Parker, Jr., J.), the Second Circuit held that "when a plaintiff asserts a claim under


The financial report March 6, 2014 - US judicial developments
  • DLA Piper LLP
  • USA
  • March 6 2014

State law fraud claims against the third parties who allegedly assisted R. Allen Stanford’s Ponzi scheme can proceed, the US Supreme Court ruled