all - Opinion Summaries

SFM Holdings, Ltd. v. Banc of Am. Secs., LLC

Banking Law, Contracts, Injury & Tort Law, Securities Law
In an action against an investment bank, claiming damages due to violations of federal and state securities laws, breach of fiduciary duty, and...

Fleszar v. U.S. Dep't of Labor

Administrative Law, Labor & Employment Law, Securities Law, Tax-exempt Organizations
Petition for review a decision of the Administrative Review Board declining to investigate plaintiff's allegation that her termination from employment...

Pendergest-Holt v. Certain Underwriters at Lloyd's

Contracts, Criminal Law & Procedure, Insurance Law, Securities Law, White Collar Crime
In an action by various insureds, including R. Allen Stanford, each faced with civil and criminal allegations that they engaged in a massive Ponzi...

Sec. & Exch. Comm'n v. Tambone

Corporation & Enterprise Law, Government Law, Securities Law
In SEC's action against executives of a registered broker-dealer for allegedly allowing certain preferred customers to engage in market timing,...

Sec. & Exch. Comm'n v. Tambone

Corporation & Enterprise Law, Government Law, Securities Law
In SEC's action against executives of a registered broker-dealer for allegedly allowing certain preferred customers to engage in market timing,...

Citigroup Global Markets, Inc. v. VCG Special Opportunities Master Fund Ltd.

Commercial Law, Contracts, Corporation & Enterprise Law, Dispute Resolution & Arbitration, Remedies, Securities Law
In an appeal from a district court's order granting plaintiff's motion for a preliminary injunction and enjoining defendant from proceeding with an...

In re: Omnicom Group, Inc. Secs. Litig.

Civil Procedure, Corporation & Enterprise Law, Evidence, M&A, Securities Law
In a securities class action alleging that defendants fraudulently accounted for a transaction, summary judgment for defendants is affirmed where: 1)...

Ma v. Merrill Lynch, Pierce, Fenner & Smith, Inc.

Banking Law, Civil Procedure, Commercial Law, Securities Law
In an action against Merrill Lynch based on unauthorized transfers from plaintiff's investment account, summary judgment for defendant is affirmed...

D&J Tire Inc. v. Hercules Tire & Rubber Co.

Civil Procedure, Corp. Governance, Corporation & Enterprise Law, Securities Law
In an action by a minority shareholder for breach of fiduciary duty arising out of defendant-executive's failure to disclose that defendant...

US v. Brown

Corp. Governance, Corporation & Enterprise Law, Criminal Law & Procedure, Drugs & Biotech, Securities Law, Sentencing, White Collar Crime
Former Chief Legal Counsel for Rite Aid's conviction and sentence for conspiracy to commit accounting fraud, filing false statements with the SEC, and...