all - Opinion Summaries

Watts v. SEC

Civil Procedure, Evidence, Securities Law
In underlying litigation between shareholders and petitioner, a former executive who allegedly committed secruities fraud, direct appeal from...

Fin. Planning Ass'n v. SEC

Securities Law
Promulgation of a final rule exempting broker-dealers from the requirements of the Investment Advisers Act when they receive "special compensation"...

Rosenberg v. Metlife, Inc.

Injury & Tort Law, Labor & Employment Law, Securities Law
Statements made by an employer on a National Association of Securities Dealers employee termination notice are subject to an absolute privilege in a...

Regents of the Univ. of California v. Credit Suisse First Boston (USA), Inc.

Banking Law, Civil Procedure, Class Actions, Corp. Governance, Corporation & Enterprise Law, Securities Law
In an action alleging that defendants-banks entered into transactions that allowed Enron to misstate its financial condition, to...

eSpeed, Inc. v. BrokerTec USA, L.L.C.

Intellectual Property, Patent, Securities Law
In a dispute involving a patent pertaining to automated methods and systems for trading financial instruments, a judgment declaring certain claims of...

Mollison v. US

Civil Procedure, Securities Law, Tax Law
Dismissal of several petitions to quash a third-party summons issued by the IRS to an investment broker as part of an investigation into potential tax...

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

Dispute Resolution & Arbitration, Injury & Tort Law, Securities Law
In case where plaintiff lost millions in his brokerage account with defendant, denial of plaintiff's motion to vacate an arbitration award in his...

Brown v. Earthboard Sports USA, Inc.

Corp. Governance, Corporation & Enterprise Law, Securities Law
The National Securities Markets Improvement Act (NSMIA) preempts state securities registration requirements only with respect to securities that...

Bellikoff v. Eaton Vance Corp.

Class Actions, Securities Law
In putative class action involving investors in defendant's mutual funds, court's grant of motions for reconsideration but adhering to prior decision,...

US v. Zolp

Criminal Law & Procedure, Securities Law, Sentencing, White Collar Crime
A sentence pursuant to a guilty plea to federal securities fraud arising from a "pump-and-dump" scheme is affirmed in part but vacated in part where...