Search for: "In the Matter of Mutual Fund Market-timing Litigation"
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20 Jul 2020, 7:00 am
At the same time, foreign debt investment in US corporations expanded dramatically. [read post]
16 Feb 2018, 6:21 am
Companies Must Listen Posted by Ed Batts, Orrick, Herrington & Sutcliffe LLP, on Tuesday, February 13, 2018 Tags: BlackRock, Boards of Directors, Corporate Social Responsibility, Engagement, Glass Lewis, Index funds, Institutional Investors, ISS, Mutual funds, Proxy advisors, Shareholder voting, Stewardship Derivative Litigation and Stockholder Preclusion Posted by David Berger, Amy… [read post]
28 May 2010, 6:15 am
*Securities Law Violations: Includes the act of manipulation or deception along with purchase and selling stocks, bonds, mutual funds, and various securities transaction, whether or not privately or on an open market like the New York Stock Exchange or Nasdaq. [read post]
14 Jul 2017, 2:11 pm
Nationwide also agreed to change how it does business—and, most importantly, it must now disclose all fees it accepts from mutual funds and give customers the option to choose mutual funds that do not pay fees to Nationwide.Given the complexity of Nationwide’s alleged fraud, and the difficulty of the litigation, there’s no question that this case could only have been brought as a class action. [read post]
31 Oct 2008, 4:00 am
Spigthoff represents a variety of clients regarding the establishment, structuring, and regulatory matters related to funds, including private investment funds, mutual funds, hedge funds, umbrella funds and real estate funds. [read post]
13 Apr 2012, 11:49 am
" The 21 members will "represent a wide variety of interests, including senior citizens and other individual investors, mutual funds, pension funds, and state securities regulators" and will begin working "in the near future. [read post]
29 Nov 2011, 12:35 am
” The fund was marketed as consisting of attractive assets, whereas the fund was arranged to include a “substantial percentage of negatively projected assets. [read post]
27 Jul 2010, 10:00 pm
The summary may include a mutually agreed-upon success statement, which will define the desired outcome of the matter. [read post]
1 Nov 2021, 1:46 pm
The point here is that the private securities litigation and SEC enforcement activity is not mutually exclusive – as in fact the settlement of the Akazoo enforcement action discussed above underscores. [read post]
1 Nov 2021, 1:46 pm
The point here is that the private securities litigation and SEC enforcement activity is not mutually exclusive – as in fact the settlement of the Akazoo enforcement action discussed above underscores. [read post]
23 Aug 2010, 4:15 am
For that matter, plaintiffs’ logic would divine a horizontal agreement from virtually any parallel expenditures for marketing services, on the mistaken ground that a firm would not pay for advertising, for example, in the absence of an agreement with its competitors to enter into similar contracts with the advertising company. [read post]
19 Dec 2011, 1:00 pm
No matter. [read post]
16 Sep 2014, 11:40 am
To insure that this objective is always being met, the SEC continually works with all major market participants, including especially the investors in our securities markets, to listen to their concerns and to learn from their experience.The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. [read post]
8 Nov 2020, 9:56 pm
Standardized disclosure from issuers on ESG matters could facilitate clearer and more consistent disclosure from funds. [read post]
21 Apr 2020, 7:50 pm
What opportunities for advisory, regulatory, and litigation services have arisen with this crisis? [read post]
28 Jul 2017, 6:00 am
Strahan, Boston College, on Tuesday, July 25, 2017 Tags: Banks, Capital markets, Cash flows, EU, Europe, Financial crisis, Foreign banks, International governance, Italy, Social networks, Systemic risk Review of Shareholder Activism—1H 2017 Posted by Jim Rossman, Lazard, on Tuesday, July 25, 2017 Tags: Boards of Directors, Hedge funds, Index funds, Institutional… [read post]
31 Aug 2016, 8:11 am
A combination of mutual funds, stocks, bonds, and cash on hand is often wisest. [read post]
31 Aug 2016, 8:11 am
A combination of mutual funds, stocks, bonds, and cash on hand is often wisest. [read post]
29 Mar 2016, 1:51 pm
However, both cases sought damages for “funds spent by the State for health care costs attributable to the pharmaceutical companies’ improper promotion and marketing” of the drug, which was enough to meet the second requirement. [read post]
15 Apr 2009, 4:37 am
Plaintiff in this case was an employee at a mutual fund operation, and was embroiled in a market timing case in which it was alleged that someone was utilizing the time-zone differences between the east coast and California to make money in the mutual funds market. [read post]
