Search for: "State v. Investors Security Corporation" Results 201 - 220 of 1,283
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15 Dec 2011, 12:22 am by Kevin LaCroix
 However, last year, in an abrupt reversal, the United States Supreme Court dramatically limited the extraterritorial application of U.S. securities laws in Morrison v. [read post]
1 Feb 2019, 7:19 am by John Jascob
New York’s Department of Financial Services (“DFS”) remains a major player, and regulators from a number of states have taken action, particularly with respect to data privacy and security. [read post]
2 Dec 2013, 5:08 pm
Levinson would represent the most radical change in the private enforcement of the federal securities law in a generation and would be a severe blow to investors' rights." [read post]
21 Dec 2011, 12:40 am by Kevin LaCroix
  A 1987 New York Court of Appeals decision, CPC International, Inc. v. [read post]
11 Jan 2019, 6:30 am
Emmerich and Robin Panovka, Wachtell, Lipton, Rosen & Katz, on Friday, January 4, 2019 Tags: Arbitrage, Boards of Directors, Deal protection, Engagement, Mergers & acquisitions, REITs, Shareholder activism, Shareholder suits, Shareholder value Fiduciary Blind Spot: The Failure of Institutional Investors to Prevent the Illegitimate Use of Working Americans’ Savings for Corporate Political Spending Posted by Tami… [read post]
2 Jan 2014, 9:15 am
RBS Securities Inc.Case number: 13-cv-01643 (United States District Court for the District of Connecticut)Case filed: November 7, 2013Qualifying judgment/order: November 25, 2013 12/20/2013 03/20/2014 2013-115 SEC v. [read post]
21 Jun 2019, 6:42 am
DiNapoli, Office of New York State Comptroller, on Sunday, June 16, 2019 Tags: Climate change, Environmental disclosure, ESG, Institutional Investors, New York, Pension funds, Stewardship, Sustainability Mootness Fees Posted by Steven Davidoff Solomon (University of California, Berkeley), on Monday, June 17, 2019 Tags: Class actions, Delaware law, Disclosure, Fairness review, Merger… [read post]
2 Feb 2009, 4:30 am
 Section 1453(d) states explicitly that CAFA does not provide a basis for removal of actions that involve solely “covered securities,” internal corporate governance under state law, or fiduciary duties related to securities. [read post]
29 Feb 2016, 4:43 pm by Kevin LaCroix
This past year was an eventful one in the corporate and securities litigation arena, with the U.S. [read post]
12 Feb 2018, 7:36 am by Arina Shulga
Clayton stated: "When investors are offered and sold securities - which to date ICOs have largely been - they are entitled to the benefits of state and federal securities laws and sellers and other market participants must follow these laws. [read post]
16 May 2023, 8:21 am by Unknown
For example, in the securities law context, a Second Circuit panel upheld the SEC’s Regulation Best Interest, but only after finding that a private plaintiff—not the state plaintiffs—had Article III standing (See, XY Planning Network, LLC v. [read post]
1 Dec 2014, 4:04 am by Kevin LaCroix
Supreme Court’s holding in Morrison v, National Australia Bank – which held that the U.S. securities laws do not apply to securities transactions that take place outside the U.S. [read post]
9 Jul 2021, 7:07 am by John Jascob
In levying the largest financial penalty ever imposed by the SRO, FINRA stated that the sanctions reflect the scope and seriousness of Robinhood’s violations, which affected millions of customers. [read post]
22 Jan 2023, 9:05 pm by renholding
The article also explains how the Supreme Court’s decision in Omnicare, Inc. v. [read post]