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Publication Date: 2019-03-06
Practice Area: Civil Procedure
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Per Curiam
Attorneys: For plaintiff: Plaintiff‐Appellant: Susan Levy, pro se, New York, N.Y.
for defendant: For Defendants‐Appellees BASF Metals Limited and BASF Corporation: Peter A. Farrell, on the brief, Michael F. Williams, Kirkland & Ellis LLP, Washington, D.C.; For Defendant‐Appellee HSBC Bank USA, N.A.: Leigh M. Nathanson, Laura C. Harris, on the brief, Damien J. Marshall, Boies Schiller Flexner LLP, New York, N.Y.
For Defendants‐Appellees Goldman Sachs International, the Goldman Sachs Group, Inc., and Goldman Sachs & Co. LLC f/k/a Goldman, Sachs & Co.: Stephen Ehrenberg, Sullivan & Cromwell LLP, New York, N.Y.
For Defendant‐Appellee ICBC Standard Bank PLC.: Robert G. Houck, Clifford Chance US LLP, New York, N.Y.
For Defendants‐Appellees UBS AG and UBS Securities LLC: Mark A. Kirsch, D. Jarrett Arp, Melanie L. Katsur, Indraneel Sur, on the brief, Eric J. Stock, Gibson, Dunn & Crutcher LLP, New York, N.Y.
For Defendant‐Appellee The London Platinum and Palladium Fixing Company Ltd: Morgan J. Feder, on the brief, Ethan E. Litwin, Dechert LLP, New York, N.Y.
Case Number: 17-3823
Limitation Period on Commodity Exchange Act Claims Accruing in 2008 Expired in 2010
Publication Date: 2019-01-25
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: Appellate Division, First Department
Judge: Justice Marcy Kahn
Attorneys: For plaintiff: For Appellant: Robert K. Kry, Steven F. Molo and Lauren M. Weinstein of counsel, MoloLamken LLP, New York
for defendant: For Respondents: Brian S. Weinstein, James P. Rouhandeh, Elisabeth Grippando, Alan J. Tabak and Matthew Cormack of counsel, Davis Polk & Wardwell LLP, New York
Case Number: 652877/14
Trustee's Gross Negligence Claims Rendered Pacts' 'Sole Remedies' Clauses Unenforceable
Publication Date: 2019-01-23
Practice Area: Contractual Disputes | Employment Litigation
Industry: Investments and Investment Advisory
Court: U.S. District Court for the Eastern District of New York, U.S. - EDNY
Judge: District Judge Allyne Ross
Attorneys: For plaintiff:
for defendant:
Case Number: 1:18-CV-3514
Refusal to Dismiss Breach Suit Over Compensation Owed Over Fund Is Explained
Publication Date: 2019-01-18
Practice Area: Criminal Law | Securities Litigation | White Collar Crime
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 Petitioner‐Appellant: David S. Frankel, Alan R. Friedman, Robin M. Wilcox, Elliot A. Smith, Kramer Levin Naftalis & Frankel, New York, New York, on the brief, Gary P. Naftalis, New York, New York
for defendant: For Respondent‐Appellee: Preet Bharara, United States Attorney for the Southern District of New York, Margaret Garnett, Assistant United States Attorney, New York, New York, on the brief, Damian Williams, Assistant United States Attorney, New York, New York
Case Number: 15-2707
Denial of Securities Fraud Convictions' §2255 Vacatur Over Jury Instruction Is Affirmed
Publication Date: 2019-01-16
Practice Area: Criminal Law | Securities Litigation
Industry: Financial Services and Banking | Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Chief Judge Robert Katzmann
Attorneys: For plaintiff: For Appellee: Jo Ann M. Navickas and Julia Nestor, Assistant United States Attorneys, on the brief, David C. Pitluck, Assistant United States Attorney, for Richard P. Donoghue, United States Attorney for the Eastern District of New York, Brooklyn, New York
for defendant: For Defendant‐Appellant: John E. Roberts, on the brief, Mark D. Harris, Proskauer Rose LLP, New York, New York
Case Number: 17-3355
Intent Evidence Supports Tipper's Conviction Where Tippee Traded on Inside Information
Law Journal Press | Digital Book
Authors: Gary L. Brown
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Publication Date: 2018-12-26
Practice Area: Creditors' and Debtors' Rights
Industry: Investments and Investment Advisory
Court: Supreme Court, New York County
Judge: Chief Justice Kathryn Freed
Attorneys: For plaintiff:
for defendant:
Case Number: 151885/2015
Judgment Debtor Must Turn Over Fine Art and Shares of Stock to Satisfy Judgment
Publication Date: 2018-12-13
Practice Area: Civil Procedure | Dispute Resolution
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 Denise Cote
Attorneys: For plaintiff: For the Plaintiff: David G. Januszewski, Sesi V. Garimella, Cahill Gordon & Reindel LLP, New York, New York.
for defendant: For the Defendants: Jenice L. Malecki, Malecki Law, New York, New York.
Case Number: 18 cv 10191
FINRA Arbitration Enjoined; Funds Improperly Transferred to non-FINRA Party
Publication Date: 2018-12-07
Practice Area: Contracts
Industry: Investments and Investment Advisory
Court: U.S. District Court for the Southern District of New York
Judge: District Judge Edgardo Ramos
Attorneys: For plaintiff:
for defendant:
Case Number: 18 Civ. 2275
Client Agreement's Forum Selection Clause Is Applicable to Suit Against Non-Signatory
Publication Date: 2018-10-23
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 Jesse Furman
Attorneys: For plaintiff:
for defendant:
Case Number: 17-CV-8300
Court Explains $80,000 'Second Tier' Penalty Arising From 'Pump-and-Dump' Scheme Judgment
Publication Date: 2018-10-09
Practice Area: Civil Procedure | Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Rosemary Pooler
Attorneys: For plaintiff: For Appellants: Glenn F. Ostrager, on the brief, Paul Dennis Wexler, New York, N.Y.
for defendant: For Appellees: Z.W. Julius Chen, Douglas A. Rappaport, Robert H. Pees, Jessica Oliff Daly, on the brief, James E. Tysse, Akin Gump Strauss Hauer & Feld LLP, Washington, D.C.
Case Number: 17-3218-cv
Firm Should Have Been Substituted in Derivative Action That Should Not Have Been Dismissed
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