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National Law Journal

SEC Increases Scrutiny of Fund Administrators, Financial Attorneys Say Amid Settlements

"The SEC is just making it very clear to the industry that we're expecting these private fund administrators to protect the fund and its investors," attorney Will Atherton said.
4 minute read

National Law Journal

SEC Tells Broker-Dealers to Tighten Their Anti-Money Laundering Programs

Agency issues risk alert that investment firms are not meeting their compliance obligations.
4 minute read

Law.com

In Robinhood Case, Mass. High Court Mulls Whether State Secretary Can Enforce Novel Fiduciary Duty on Broker-Dealers

"We think this rule falls far outside what is a reasonable rule of unethical because one, it conflicts with the SEC's rule; two, it conflicts with the common law; and three, the secretary has pointed to no authority outside the state that has adopted a similar rule," Amy M. Saharia, a partner at Williams & Connolly, argued on behalf of Robinhood, noting that Section 415 of the act in question makes clear to "make the law of Massachusetts uniform with its sister jurisdictions and the federal government."
5 minute read

Connecticut Law Tribune

10 Years Later, This High Court Fight Over Real Estate Commissions Is Far From Over

Daniel E. Casagrande, counsel for the plaintiffs and partner at Cramer & Anderson, said it has been a long road.
4 minute read

Daily Business Review

Broward Judge Awards $9.9M in Attorney Fees and Costs After $33M Salmon Settlement

"If I go to the grocery store, and I'm buying salmon, my assumption is that the prices that I'm paying are the result of a competitive marketplace," said Roger Mandel, a shareholder at Jeeves Mandel Law Group, who is not involved in the litigation.
4 minute read

New York Law Journal

Schwab Gasparini Partner Wins Series of Accidental Retirement Disability Cases in Albany Appeals Court

The three cases are within the same timeframe as a recent New York Court of Appeals case that was in some ways similar, but resulted in a win for the state of New York.
6 minute read

Daily Business Review

Ex-Citi Trader Says Bank Distorted Chats to Get Him Indicted for Price-Fixing

The suit seeks $112 million in damages and alleges a former Citi executive's review of a trader's chat communications misled prosecutors in a way that falsely implicated him. He was found not guilty after a trial in 2018.
6 minute read

Daily Business Review

Mark Cuban, Dallas Mavericks in Crosshairs of Investors in Cryptocurrency Class Action

David Boies, chairman and managing partner at Boies Schiller Flexner, is co-lead counsel in the federal district court class action against Mark Cuban and his NBA franchise.
5 minute read

Corporate Counsel

Former Adobe Lawyer Becomes VP of Legal at Top US Insurance Broker

PCF Insurance Services officials believe Kenton Walker's merger experience will be invaluable as the company picks up the pace on its acquisition spree.
2 minute read

Texas Lawyer

Central Issue Emerges as US Manufacturers Sue SEC Over Regulation of Proxy Advisory Firms

"NGS has been forced to file supplemental proxy statements in response to this misleading proxy advice in seven of the past nine annual proxy seasons," Natural Gas Services alleged.
5 minute read

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