Don’t forget you can visit MyAlerts to manage your alerts at any time.
150 results for '* industry:"Investments and Investment Advisory"' You can use Search Constraints to get even better search results
Publication Date: 2020-11-16
Practice Area: Contractual Disputes | Securities Litigation
Industry: Financial Services and Banking | Investments and Investment Advisory
Court: U.S. District Court for the Western District of New York, U.S. - WDNY
Judge: District Judge William Skretny
Attorneys: For plaintiff:
for defendant:
Case Number: 18-CV-1198
FINRA Immunity Deprives Court of Jurisdiction in Suit Alleging AWC Letter Unconscionable
Publication Date: 2020-11-09
Practice Area: Criminal Law
Industry: Investments and Investment Advisory
Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
Judge: District Judge Ronnie Abrams
Attorneys: For plaintiff:
for defendant:
Case Number: 16-CR-371-5
Knowing, Voluntary Guilty Plea Not Coerced by Prior Counsel, May Not Be Withdrawn
Publication Date: 2020-10-28
Practice Area: Civil Procedure | Contractual Disputes | 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 Valerie Caproni
Attorneys: For plaintiff:
for defendant:
Case Number: 20-CV-3749
Limited Agent Law Firm Is Not Authorized to Accept Service of Process in Breach Action
Publication Date: 2020-08-07
Practice Area: REITS | Securities Litigation
Industry: Health Care | Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Richard Wesley
Attorneys: For plaintiff: For Plaintiffs-Appellants: David Dean, on the brief, Jacob A. Goldberg, The Rosen Law Firm, P.A., Jenkintown, PA.
for defendant: For Defendants-Appellees: Heather S. Goldman, on the brief, Eric Rieder, Bryan Cave Leighton Paisner, LLP, New York, NY.
Case Number: 19-1905
Omega's Failure to Disclose Loan Renders Statements of Orianna's Performance Misleading
Publication Date: 2020-07-23
Practice Area: Civil Procedure | Employment Compliance
Industry: Investments and Investment Advisory
Court: U.S. District Court for the Eastern District of New York, U.S. - EDNY
Judge: District Judge Ann Donnelly
Attorneys: For plaintiff:
for defendant:
Case Number: 1:20-CV-00062
Claim for 401(k) Benefits Untimely Under 29 USC §1113(1)(A)'s Six-Year Limit Period
Law Journal Press | Digital Book
Authors:
View this BookView more book results for the query "*"
Publication Date: 2020-07-06
Practice Area: Administrative Law | Regulation
Industry: Financial Services and Banking | Federal Government | Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Michael Park
Attorneys: For plaintiff: For Petitioners XY Planning Network, LLC and Ford Financial Solutions, LLC: Jonathan E. Taylor, Daniel Wilf-Townsend, on the brief, Deepak Gupta, Gupta Wessler PLLC, Washington, DC.
For Petitioner State of New York: Attorney General Letitia James, Solicitor General Barbara D. Underwood, Steven C. Wu, Matthew Colangelo, Kevin Wallace, Jeffrey A. Novak, Rita Burghardt McDonough, Jonathan Zweig, on the brief, Ester Murdukhayeva, New York, NY.
For Respondents United States Securities and Exchange Commission and Walter Clayton: Robert B. Stebbins, Michael A. Conley, Daniel E. Matro, on the brief, Jeffrey A. Berger, Washington, DC.
For Petitioner State of California: Attorney General Xavier Becerra, Matthew Rodriguez, Martin Goyette, Amy Winn, Nathaniel R. Spencer-Mork, San Francisco, CA.
For Petitioner State of Connecticut: Attorney General William Tong, Joseph J. Chambers, Hartford, CT.
For Petitioner State of Delaware: Attorney General Kathleen Jennings, Marion Quirk, Joseph E. Gibbs-Tabler, Jillian Lazar, Wilmington, DE.
For Petitioner State of Maine: Attorney General Aaron M. Frey, Gregg D. Bernstein, Augusta, ME.
For Petitioner State of New Mexico: Attorney General Hector Balderas, Nicholas M. Sydow, Tania Maestas, Santa Fe, NM.
For Petitioner District of Columbia: Attorney General Karl A. Racine, Loren L. AliKhan, Jacqueline R. Bechara, Graham E. Phillips, Washington, DC.
For Petitioner State of Oregon: Attorney General Ellen F. Rosenblum, Brian A. de Haan, Portland, OR.
for defendant: For Amicus Curiae Financial Planning Association in support of Petitioners: Todd M. Galante, Piro Zinna Cifelli Paris & Genitempo, LLC, Nutley, NJ.
For Amici Curiae Current and Former Members of Congress in support of Petitioners: Brianne J. Gorod, Ashwin P. Phatak, Elizabeth B. Wydra, Clare E. Riva, Constitutional Accountability Center, Washington, DC.
For Amici Curiae Better Markets, Inc. and the Consumer Federation of America in support of Petitioners: Dennis M. Kelleher, Better Markets, Inc., Washington, DC.
For Amicus Curiae The Public Investors Arbitration Bar Association in support of Petitioners: Adam J. Weinstein, Gana Weinstein LLP, New York, NY.
For Amici Curiae Representatives Ann Wagner, Andy Barr, J. French Hill, Blaine Luetkemeyer, and Senator Tom Cotton in support of Respondents: Jesse Panuccio, Jordan R. Goldberg, Boies Schiller Flexner LLP, Washington, DC.
For Amici Curiae the Securities Industry and Financial Markets Association, the Chamber of Commerce of the United States of America, the American Council of Life Insurers, and the Financial Services Institute in support of Respondents: Kelly P. Dunbar, Wilmer Cutler Pickering Hale and Dorr LLP, Washington, DC.
Case Number: 19-2886-pr
Denial of Review of SEC Regulation Best Interest Explained; RBI Not Arbitrary Under APA
Publication Date: 2020-06-02
Practice Area: Civil Procedure | Commercial Law
Industry: Investments and Investment Advisory
Court: Supreme Court, New York
Judge: Justice Andrew Borrok
Attorneys: For plaintiff:
for defendant:
Case Number: 653594/2018
Shareholder Action Makes Out Prima Facie Case Under 'Fraud on the Minority Exception'
Publication Date: 2020-05-27
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Barrington Parker
Attorneys: For plaintiff: For Plaintiff-Appellant: David Lopez, Law Office of David Lopez, Southampton, NY, on the brief, Miriam Tauber, Miriam Tauber Law PLLC, New York, NY.
for defendant: For Defendants-Appellees: Robin Muir, on the brief, Dennis Henry Tracey, III, Hogan Lovells US LLP, New York, NY.
For Nominal Defendant-Appellee: Susan Saltzstein, Skadden, Arps, Slate, Meagher & Flom LLP, New York, NY.
Case Number: 19-560-cv
Short-Swing Profits Denied Disgorgement; Advisor's Client Not Insider Group Member
Publication Date: 2020-04-27
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 Ronnie Abrams
Attorneys: For plaintiff:
for defendant:
Case Number: 12-CV-5811
Court's Injunction Not Modified; SEC Order Barred Only Future SEA §15(a) Violations
Publication Date: 2020-03-23
Practice Area: Creditors' and Debtors' Rights | International Law | Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Per Curiam
Attorneys: For plaintiff: For Plaintiffs-Appellants: Michael C. Spencer, Milberg Tadler Phillips Grossman, LLP, New York, NY.
for defendant: For Defendant-Appellee: Carmine D. Boccuzzi, Jr., on the brief, Rahul Mukhi, Cleary Gottlieb Steen & Hamilton LLP, New York, NY.
Case Number: 19-379
Court Did Not Decide Issue of Argentina Bond Subscribers' Retention of Enforcement Rights
Legal Speak is a weekly podcast that makes sense of what’s happening in the legal industry.
1 minute read