all - Opinion Summaries

Norris v. Securities and Exchange Comm'n

Dispute Resolution & Arbitration, Labor & Employment Law, Securities Law
An arbitrator's decision affirming the petitioner's removal from his position as an SEC trial attorney is vacated, where: 1) there was no evidence...

Bessemer Trust Company, N.A. v. Branin

Securities Law, Commercial Law, Contracts
In a suit alleging improper solicitation of a client's account where that account and its associated "good will" had earlier been transferred to the...

Simkin v. Blank

Family Law, Securities Law
In a case in which an ex-husband sought to reform or have set aside a divorce settlement agreement based on a claim of mutual mistake pertaining to an...

Ryan v. Kellogg Partners Institutional Services

Attorney's Fees, Contracts, Labor & Employment Law, Securities Law
In a suit by a securities broker against his employer for failure to pay wages and breach of an oral contract to pay a bonus, the Appellate Division's...

Credit Suisse Securities (USA) LLC v. Simmonds

Civil Procedure, Corp. Governance, Corporation & Enterprise Law, Securities Law
In consolidated suits seeking disgorgement of "short-swing" insider trading profits under section 16(b) of the Securities Exchange Act that were...

Thomas v. Westlake

Consumer Protection Law, Dispute Resolution & Arbitration, Elder Law, Securities Law
In a suit against an investment advisor and related defendants for churning the account of an elderly client, an order denying the defendants'...

SEC v. Citigroup Global Markets Inc.

Banking Law, Civil Procedure, Securities Law
In a case in which the SEC charged a bank with negligent misrepresentation in the marketing of collateralized debt obligations, and the parties...

Rogers v. Petroleo Brasileiro, S.A.

Banking Law, Civil Procedure, International Law, Oil and Gas Law, Securities Law
In an action brought in federal district court in New York against the state-owned oil company of Brazil for breach of the terms and conditions of...

Brandi-Dohrn v. IKB Deutsche Industriebank AG

Banking Law, Civil Procedure, International Law, Securities Law
On appeal of an order granting a bank's motion to quash subpoenas issued pursuant to 28 USC section 1782 to obtain discovery for use in a securities...

Absolute Activist Value Master Fund Ltd. v. Ficeto

White Collar Crime, Corp. Governance, Securities Law
In an action asserting fraud claims under the federal securities laws, the district court's dismissal of the complaint is: 1) reversed insofar as it...