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Publication Date: 2023-12-11
Practice Area: Corporate Governance | Securities Litigation
Industry: Pharmaceuticals
Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
Judge: District Judge Denise L. Cote
Attorneys: For plaintiff: Attorneys for Defendants: Glenn Agre Bergman & Fuentes LLP, New York, New York.
for defendant:
Case Number: 1:23-CV-07875
SEA §14(a) Suit to Bar Shareholders' Exercise of Right to Challenge Management Dismissed
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
Publication Date: 2023-11-30
Practice Area: Securities Litigation
Industry: Financial Services and Banking | Investments and Investment Advisory
Court: U.S. District Court for the Eastern District of New York, U.S. - EDNY
Judge: Magistrate Judge Peggy Kuo
Attorneys: For plaintiff:
for defendant:
Case Number: 23-CV-8123
Securities Fraud Suits Consolidated; Lead Plaintiff Retirement System Had Greatest Loss
Publication Date: 2023-11-20
Practice Area: Securities Litigation
Industry:
Court: U.S. Court of Appeals for the Second Circuit
Judge: Chief Judge Debra Ann Livingston
Attorneys: For plaintiff: For Plaintiff-Appellee: Miles D. Schreiner, Monteverde & Associates, PC, New York, NY, on behalf of Plaintiff-Appellee Jonathan Krasner.
for defendant: For Defendants-Appellants: Kathryn C. Cole, Greenberg Traurig LLP, Garden City, NY, on the brief, Jerrold A. Thrope, Gordon Feinblatt LLC, Baltimore, MD (), on behalf of Defendants-Appellants Cedar Realty Trust, Inc. and Wheeler Real Estate Investment Trust, Inc.
Douglas H. Flaum, Jennifer Burns Luz, Goodwin Procter LLP, New York, NY and Boston, MA, on behalf of Defendants-Appellants Bruce J. Schanzer, Gregg A. Gonsalves, Abraham Eisenstat, Steven G. Rogers, Sabrina L. Kanner, Darcy D. Morris, Richard H. Ross, and Sharon Stern.
Case Number: 23-1262
'Securities-Related' Exception to CAFA Federal Jurisdiction Applies to Investor Claim
Publication Date: 2023-11-17
Practice Area: Securities Litigation
Industry:
Court: U.S. District Court for the Eastern District of New York, U.S. - EDNY
Judge: District Judge William F. Kuntz II
Attorneys: For plaintiff:
for defendant:
Case Number: 22-CV-3353
SEC Plausibly Asserts Convertible Notes Are Securities; Defendants Acted as 'Dealers'
Law Journal Press | Digital Book
Authors: Patrick S. Montoya, Ervin A. Gonzalez, Ervin A. Gonzalez, Ervin A. Gonzalez, Ervin A. Gonzalez
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Publication Date: 2023-11-14
Practice Area: Securities Litigation
Industry: Retail
Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
Judge: District Judge Jed S. Rakoff
Attorneys: For plaintiff:
for defendant:
Case Number: 22-CV-9836
Claims Over Restated Financial Information Stand; Duty of Accuracy, Price Impact Noted
Publication Date: 2023-11-13
Practice Area: Securities Litigation
Industry:
Court: U.S. District Court for the Eastern District of New York, U.S. - EDNY
Judge: Magistrate Judge James M. Wicks
Attorneys: For plaintiff: Attorney for Plaintiff: Danielle E. Karst, Esq., U.S. Commodity Futures Trading Commission. Washington, DC.
for defendant: Pro Se Defendant: Daniel Winston LaMarco, 518 Ft. Washington Avenue, BSMT C, New York, NY.
Case Number: 17-CV-04087
Bid to Compel Counsel's Release of Records Is Denied; Reopening of Discovery Required
Publication Date: 2023-11-08
Practice Area: Securities Litigation
Industry:
Court: U.S. District Court for the Eastern District of New York, U.S. - EDNY
Judge: District Judge Frederic Block
Attorneys: For plaintiff: For the Plaintiff: Abigail E. Rosen, Securities and Exchange Commission, New York Regional Office, New York, NY.
for defendant: For the Defendants: Jorge M. Marquez, Jon-Jorge Aras, Christopher Warren, New York, NY.
Case Number: 23-CV-5708
Court Finds No Legal Basis to Grant Ponzi Scheme Defendants' Bid to Unfreeze Funds
Publication Date: 2023-11-06
Practice Area: Securities Litigation
Industry: Federal Government | Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Steven J. Menashi
Attorneys: For plaintiff: For Plaintiff-Appellee: Michael A. Conley, Solicitor, on the brief, Kerry J. Dingle, Senior Appellate Counsel, Securities and Exchange Commission, Washington, DC.
for defendant: For Defendant-Appellant: Adam C. Ford, Stephen R. Halpin III, on the brief, Matthew Aaron Ford, Ford O'Brien Landy LLP, New York, NY.
Case Number: 22-1658
Court Needed to Find if Investors Suffered Pecuniary Harm Before Awarding Disgorgement
Publication Date: 2023-10-23
Practice Area: Civil Procedure | Securities Litigation
Industry:
Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
Judge: District Judge Jesse M. Furman
Attorneys: For plaintiff:
for defendant:
Case Number: 23-CV-6339
Preliminary Injunction Denied; Irreparable Harm Not Established, Damages Ascertainable
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