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Publication Date: 2024-10-04
Practice Area: Contractual Disputes | Immigration Law
Industry: Investments and Investment Advisory
Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
Judge: District Judge J. Paul Oetken
Attorneys: For plaintiff:
for defendant:
Case Number: 23-CV-4880
Part Dismissal of Immigrant Chinese Investors' Contract Breach, Related Claims Explained
Publication Date: 2024-08-28
Practice Area: Bankruptcy | White Collar Crime
Industry: Financial Services and Banking | Investments and Investment Advisory
Court: U.S. Bankruptcy Court, U.S. - SDNY
Judge: Bankruptcy Judge John P. Mastando, III
Attorneys: For plaintiff: Attorneys for the Plaintiffs Joint Liquidators By: Jeffrey L. Jonas, David J. Molton, Marek P. Krzyzowski, Brown Rudnick LLP, New York, NY.
for defendant: Counsel for UBS Jersey Nominees Limited By: Marshall R. King, Gabriel Herrmann, Gibson, Dunn & Crutcher LLLP, New York, New York.
Case Number: 10-03636
Adversary Proceeding in Ponzi Scheme Case Is Denied Dismissal for Lack of Jurisdiction
Publication Date: 2024-08-27
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
Judge: District Judge Victor Marrero
Attorneys: For plaintiff:
for defendant:
Case Number: 23 Civ. 5849
Israeli Firm Protected by IAA's 'Publisher's Exclusion', Not Shown an Investment Advisor
Publication Date: 2024-07-12
Practice Area: Civil Procedure | Judges
Industry: Financial Services and Banking | Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Per Curiam
Attorneys: For plaintiff: For Plaintiffs-Appellants: Gregory Rapawy, Eliana Margo Pfeffer, on the brief, David C. Frederick, Kellogg, Hansen, Todd, Figel & Frederick, P.L.L.C., Washington, DC.
For Plaintiffs-Appellants: Christopher M. Burke, Scott+Scott Attorneys at Law LLP, New York, NY.
For Plaintiffs-Appellants: Walter W. Noss, Kate Lv, Scott+Scott Attorneys at Law LLP, San Diego, CA.
For Plaintiffs-Appellants: George A. Zelcs, Chad E. Bell, Ryan Z. Cortazar, Korein Tillery LLC, Chicago, IL.
For Plaintiffs-Appellants: Glen E. Summers, Karma M. Giulianelli, Bartlit Beck LLP, Denver, CO.
for defendant: For Defendants-Appellees The Goldman Sachs Group, Inc. and Goldman Sachs & Co. LLC: Matthew J. Porpora, Jonathan S. Carter, on the brief, Richard C. Pepperman II, Sullivan & Cromwell LLP, New York, NY.
For Defendants-Appellees Bank of America Corporation, BofA Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated: Adam S. Hakki, Richard F. Schwed, Shearman & Sterling LLP, New York, NY.
For Defendant-Appellee Barclays Capital, Inc.: Barry G. Sher, Kevin P. Broughel, Paul Hastings LLP, New York, NY.
For Defendant-Appellee Credit Suisse Securities (USA) LLC: Herbert S. Washer, Sheila C. Ramesh, Adam S. Mintz, Cahill Gordon & Reindel LLP, New York, NY.
For Defendants-Appellees JPMorgan Chase & Co. and J.P. Morgan Securities LLC: Robert D. Wick, John S. Playforth, Covington & Burling LLP, Washington, DC.
For Defendant-Appellee NatWest Markets Securities Inc: Paul S. Mishkin, Adam G. Mehes, Davis Polk & Wardwell LLP, New York, NY.
For Defendants-Appellees Citigroup Inc. and Citigroup Global Markets Inc.: Jay Kasner, Karen M. Lent, Skadden, Arps, Slate, Meagher & Flom LLP, New York, NY.
For Defendant-Appellant Deutsche Bank Securities Inc.: John F. Terzaken, Adrienne V. Baxley, Simpson Thacher & Bartlett LLP, Washington, DC.
For Defendants-Appellees Morgan Stanley, Morgan Stanley & Co. LLC, and Morgan Stanley Smith Barney LLC: Richard A. Rosen, Brad S. Karp, Susanna M. Buergel, Paul, Weiss, Rifkind, Wharton & Garrison LLP, New York, NY, Kannon K. Shanmugam, Jane B. O'Brien, Paul, Weiss, Rifkind, Wharton & Garrison LLP, Washington, DC.
For Defendants-Appellees Wells Fargo & Co., Wells Fargo Securities, LLC, and Wells Fargo Clearing Services, LLC: Jayant W. Tambe, Laura W. Sawyer, Amanda L. Dollinger, Jones Day, New York, NY.
Case Number: 21-2905
Judgment Vacated; Statute, Precedents Required Judge's Pre-Judgment Disqualification
Publication Date: 2024-04-11
Practice Area: Civil Procedure
Industry: Investments and Investment Advisory
Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
Judge: District Judge Vernon S. Broderick
Attorneys: For plaintiff: Rachel Geman, Christopher E. Coleman, Lieff Cabraser Heimann & Bernstein, LLP, New York, New York.
for defendant: Counsel for Plaintiffs: Catherine Elizabeth Anderson, Giskan Solotaroff & Anderson, LLP, New York, New York.
Counsel for Defendant: Benjamin Delalio Bianco, Caitlin R. Trow, Meister Seelig & Fein LLP, New York, New York.
Case Number: 21-CV-7579
Dismissal Upheld; Deceptive Practices Under State Law Not Alleged
Law Journal Press | Digital Book
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Publication Date: 2024-04-08
Practice Area: Dispute Resolution | Securities Litigation
Industry: Financial Services and Banking | Investments and Investment Advisory
Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
Judge: District Judge John P. Cronan
Attorneys: For plaintiff:
for defendant:
Case Number: 23 Civ. 3704
Interim Arbitral Award Stands; Arbitrator Did Not Willfully Refuse to Apply Governing Law
Publication Date: 2024-03-21
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge John M. Walker, Jr.
Attorneys: For plaintiff: For Plaintiff-Appellee: Michael A. Conley, Acting General Counsel, on the brief, William K. Shirey, Counsel to the Solicitor, Securities and Exchange Commission, Washington, DC.
for defendant: For Defendant-Appellant: Faith E. Gay, Ryan W. Allison, Selendy & Gay PLLC, New York, NY; Theresa Van Vliet, Genovese Joblove & Battista, P.A., Fort Lauderdale, FL, on the brief, Caitlin J. Halligan, Selendy & Gay PLLC, New York, NY.
Case Number: 20-4080-CV
Equity Funds' Reimbursement of Their Manager's Expenses Not Reasonably Foreseeable
Publication Date: 2024-02-22
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: District Judge Arun Subramanian
Attorneys: For plaintiff: For Plaintiffs-Appellants: Vincent Briganti, Lowey Dannenberg, P.C., White Plains, NY, on the brief, Margaret C. MacLean, Lowey Dannenberg, P.C., White Plains, NY.
for defendant: For Defendants-Appellees: Susan Saltzstein, Kamali P. Willett, Kartik Naram, Skadden, Arps, Slate, Meagher & Flom LLP, New York, NY; Adam S. Hakki, Shearman & Sterling LLP, New York, NY; Alan Schoenfeld, Wilmer Cutler Pickering Hale and Dorr LLP, New York, NY; Paul S. Mishkin, Caroline Stern, Davis Polk & Wardwell LLP, New York, NY; Lev L. Dassin, Roger A. Cooper, Samuel Levander, Cleary Gottlieb Steen & Hamilton LLP, New York, NY; John Terzaken, Karen M. Porter, Simpson Thacher & Bartlett LLP, Washington, DC, on the brief, Boris Bershteyn, Skadden, Arps, Slate, Meagher & Flom LLP, New York, NY.
Case Number: 22-2093
Mexican Banks Had Contacts With NY Based on Sales by 'Pass-Through' Broker-Dealers
Publication Date: 2024-02-09
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Richard C. Wesley
Attorneys: For plaintiff: For Plaintiffs-Appellants: Stacy L. Ceslowitz, on the brief, Steven M. Kayman, Rottenberg Lipman Rich, P.C., New York, NY.
for defendant: For Defendants-Appellees: Jeffrey R. Wang, Alexandra Elenowitz-Hess, on the brief, Lawrence Robbins, Friedman Kaplan Seiler Adelman & Robbins LLP, New York, NY.
Case Number: 23-154
TIA Did Not Protect Indenture Where Exchange Offer Was Private Placement
Publication Date: 2023-12-08
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Richard C. Wesley
Attorneys: For plaintiff: For Plaintiffs-Appellees: Jacob W. Buchdahl, Susman Godfrey LLP, New York, NY, on the brief, Mark P. Musico, Susman Godfrey LLP, New York, NY.
for defendant: For Defendants-Appellants Nuveen Floating Rate Income Fund, Nuveen Floating Rate Income Opportunity Fund, Nuveen Short Duration Credit Opportunities Fund, Nuveen Global High Income Fund, and Nuveen Senior Income Fund: Parker Rider-Longmaid, Kyser Blakely, Skadden, Arps, Slate, Meagher & Flom LLP, Washington, DC; Scott Musoff, Boris Bershteyn, Skadden, Arps, Slate, Meagher & Flom LLP, New York, NY; Eben Colby, Emily Jennings, Skadden, Arps, Slate, Meagher & Flom LLP, Boston, MA, on the Brief, Shay Dvoretzky, Skadden, Arps, Slate, Meagher & Flom LLP, Washington, DC.
For Defendants-Appellants Terence J. Toth, Jack B. Evans, William C. Hunter, Albin F. Moschner, John K. Nelson, Judith M. Stockdale, Carole E. Stone, Margaret L. Wolff, Robert L. Young, and Matthew Thornton III, in their capacity as Trustees of the Nuveen Trusts: Robert A. Skinner, Douglas Hallward-Driemeier, Amy D. Roy, Ropes & Gray LLP, Boston, MA.
For Amicus Curiae The Investment Company Institute in Support of Defendants-Appellants: Susan Olson, Dorothy Donohue, Kenneth Fang, The Investment Company Institute, Washington, DC; Steven A. Engel, David A. Kotler, Michael H. McGinley, Dechert LLP, New York, NY.
For Amicus Curiae Bulldog Investors, LLP in Support of Plaintiffs-Appellees: Aaron T. Morris, Andrew W. Robertson, Morris Kandinov LLP, New York, NY.
Case Number: 22-407
Firm's Bylaws Amendment Violates ICA as Restriction on Shareholders, Not on Shares
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