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Searching Content by Gabriella S. Paglieri from Carlton Fields ordered by Published Date Descending.
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1
Supreme Court Set To Rule On Constitutionality Of SEC's ALJs
As a result, the Supreme Court appointed an amicus curiae, New York appellate attorney Anton Metlitsky, to defend the SEC's prior position.
United States
9 Jul 2018
2
Delicate FINRA Balancing Act: To Self-Report Or Not?
FINRA Rule 4530(a) requires member firms to promptly report certain enumerated events.
United States
8 Jan 2018
3
When In Doubt, Assume The Earliest Possible Deadline
One of the most important factors in preserving your appellate rights is knowing when the clock starts running on your deadline to appeal.
United States
26 Sep 2017
4
Second Circuit Martoma Ruling, Affirming Tippee's Conviction, Backtracks on Newman, and Adds Yet More Uncertainty to Ever-Evolving Insider Trading Law
Last week's dueling opinions in the Second Circuit in United States v. Martoma – Chief Judge Katzman's 37-page majority opinion and Judge Pooler vigorous 44-page dissent – once again transformed insider trading law, in the aftermath of last December's Salman decision in the U.S. Supreme Court, by modifying, if not overruling the circuit's prior decision in United States v. Newman.
United States
30 Aug 2017
5
New York's High Court Holds Additional Insured Coverage Extends Only To Injuries Proximately Caused By Named Insured's Fault
During the policy period, an MTA employee was injured by an explosion that occurred when one of BSI's machines contacted an exposed electrical cable.
United States
1 Aug 2017
6
Chief Compliance Officers Beware
In the Matter of Windsor Street Capital, L.P., initiated in January of this year, is a case in point.
United States
7 Jul 2017
7
GOOGLE Trademark Has Not Become Generic
In Elliott v Google, Inc, 15-15809, 2012 WL 2112311 (May 16 2017) the Ninth Circuit upheld a district court's decision not to cancel the GOOGLE trademark, rejecting a claim that it had become generic.
United States
29 Jun 2017
8
Federal Court Holds Highway Sign Does Not Harm State
In State of Michigan v M22 LLC, 1:16-CV-1084 (WD MI April 21 2017), Michigan retail company M22 LLC registered the road signs of a well-known Michigan highway, M-22, for use on apparel for sale.
United States
2 Jun 2017
9
Texas Supreme Court Clarifies When Insured May Recover Policy Benefits
In an effort to clarify over 20 years of conflicting precedent, the Texas Supreme Court announced five rules that, according to the court, explain the relationship between claims for breach of insurance...
United States
3 May 2017
10
Circuits Split Over Constitutionality Of SEC's Administrative Law Judges
The circuit split may make this issue ripe for future U.S. Supreme Court review.
United States
13 Apr 2017
11
Third Circuit Affirms Rescission Of $25 Million Contaminated Products Policy
After Starr declined coverage, Heinz brought suit against Starr, alleging breach of contract and bad faith for Starr's denial of coverage for losses Heinz suffered as a result of a recall of...
United States
23 Feb 2017
12
Back to the Future: 2017 [Expect Focus Life Insurance – December 2016]
Back to the Future: 2017 [Expect Focus Life Insurance – December 2016].
United States
30 Jan 2017
13
Complex Investment Product Training Materials Under Fire
In September 2016, the SEC imposed an approximately $15 million penalty and disgorgement (in total) against UBS Financial Services Inc.
United States
6 Jan 2017
14
D.C. Circuit: SEC's In-House Court Is Constitutional
The D.C. Circuit was found that the appointment of the SEC's administrative law judges (ALJs) is constitutional and upheld the constitutionality of the APs.
United States
28 Oct 2016
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