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23 results found

Article

McDermott Will & Emery | USA | 24 Apr 2018

DOL Less Likely to Appeal Fifth Circuit Ruling Vacating Expansion of Fiduciary Rule in Light of Recent SEC Guidance

In a recent 2-1 decision, the Fifth Court vacated the US Department of Labor’s controversial expansion of the ERISA fiduciary regulations (the New

Article

Troutman Sanders LLP | USA | 26 Mar 2018

U.S. Court of Appeals for the Fifth Circuit Vacates Fiduciary Rule

Recently, the United States Court of Appeals for the Fifth Circuit vacated the Department of Labor’s (“DOL”) fiduciary investment

Article

Chadbourne & Parke LLP | USA | 1 Mar 2012

New York’s Martin Act does not preempt private securities-related common law claims

The New York Court of Appeals, New York’s highest court, recently held that New York’s Martin Act does not preclude private investors from bringing common law tort claims such as breach of fiduciary duty or negligence arising out of the sale of securities.

Article

Sheppard Mullin Richter & Hampton LLP | USA | 4 Jan 2012

New York High Court holds that state blue sky law does not preempt common law claims involving securities

In Assured Guaranty (UK) Ltd. v. J. P. Morgan Investment Management Inc., 2011 N.Y. Slip Op. 09162, 2011 WL 6338898 (N.Y. Dec. 20, 2011), the New York Court of Appeals held that the Martin Act, N.Y. Gen. Bus. Law art. 23-A New York’s “blue sky” law designed to address fraudulent practices in the marketing of securities does not preempt common law causes of action for breach of fiduciary duty and gross negligence in connection with the marketing or sale of securities, even if the alleged wrongdoing also would fall within the purview of the Martin Act.

Article

McCarthy Tétrault LLP | Canada | 28 Oct 2011

Materiality in securities legislation: guidance from the Supreme Court of Canada imposes burdens on both plaintiffs and issuers

Until now, there has been little judicial guidance on how much or how little an issuer of securities should disclose in order to comply with securities law.

Article

Chadbourne & Parke LLP | USA | 13 Sep 2011

Madoff trustee has no standing to bring common law claims on behalf of Madoff customers

The trustee of Bernard L. Madoff Investment Securities, LLC (“BLMIS”), Irving Picard, recently suffered a severe setback in his efforts to recover money on behalf of investors in BLMIS at the expense of the banks and other financial firms that provided services to BLMIS.

Article

McCarthy Tétrault LLP | Canada | 8 Sep 2011

Materiality in securities legislation: guidance from the Supreme Court of Canada imposes burdens on both plaintiffs and issuers

Management in public companies often struggles to determine how much or how little to disclose in connection with offerings of securities.

Article

Jorden Burt LLP | USA | 18 Aug 2011

New York High Court eyes Martin Act preemption

New York’s “blue sky” law, the Martin Act, has been a substantial impediment to certain types of private legal actions involving securities.

Article

Mintz | USA | 15 Aug 2011

Madoff trustee cannot sue firms that ignored evidence of fraud

In the aftermath of the largest Ponzi scheme ever to hit investors, Bernie Madoff’s victims are still reeling from the tremendous losses they have suffered, and are looking for any possible avenue to recover even a fraction of their investments.

Article

Stoel Rives LLP | USA | 27 Apr 2011

Alaska Supreme Court clarifies the business judgment rule for board members

On Friday, the Alaska Supreme Court decided Henrichs v. Chugach Alaska Corp., No. S-13094 (Apr. 22, 2011), in which it confirmed the vitality of the common law business judgment rule in Alaska.

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