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  • Valelly v. Merrill Lynch, Pierce, Fenner & Smith Inc.

    Publication Date: 2023-04-24
    Practice Area: Discovery | Evidence | Expert Witnesses
    Industry: Financial Services and Banking | Investments and Investment Advisory
    Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
    Judge: District Judge Valerie E. Caproni
    Attorneys: For plaintiff:
    for defendant:

    Case Number: 19-CV-7998

    Expert's Testimony in Suit on Account's 'Sweep' Feature Excluded Under FRE 702, 'Daubert'

  • Kataman Metals LLC v. Macquarie Futures USA LLC

    Publication Date: 2023-04-12
    Practice Area: Business Torts | Contractual Disputes | Securities Litigation
    Industry: Financial Services and Banking | Brokerage | Investments and Investment Advisory
    Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
    Judge: District Judge Denise L. Cote
    Attorneys: For plaintiff: For Plaintiff Kataman Metals, LLC: Stephen P. Younger, Paul F. Downs, Foley Hoag LLP, New York, NY.
    for defendant: Glenn A. Cohen, Lynn Watson, Allison P. Dempsey, Seiller Waterman LLC, Louisville, KY. For Defendant Macquarie Futures USA, LLC: Rachel B. Goldman, Allan N. Taffet, Joshua C. Klein, Bracewell LLP, New York, NY.

    Case Number: 22 CV 5272

    Claim Under CEA Dismissed; CEA Fraud Theory Grounded on Promises of Future Actions

  • Morton v. Aizenberg

    Publication Date: 2023-03-22
    Practice Area: Contractual Disputes
    Industry: Investments and Investment Advisory
    Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
    Judge: District Judge Nelson S. Román
    Attorneys: For plaintiff:
    for defendant:

    Case Number: 21-CV-7782

    Fiduciary Duty Not Breached; Chosen Investment Plan Followed Under Advisory Contract

  • Nelson Bros. W. Seneca LLC v. Kaplan

    Publication Date: 2022-12-28
    Practice Area: Real Estate
    Industry: Investments and Investment Advisory
    Court: Supreme Court, New York
    Judge: Justice Joel M. Cohen
    Attorneys: For plaintiff:
    for defendant:

    Case Number: 656304/2022

    Counterclaims Under Closing Note Are Untimely; No Setoff Available Against Guaranty

  • Haley v. Teachers Ins. & Annuity Ass'n of Am.

    Publication Date: 2022-12-07
    Practice Area: Civil Procedure
    Industry: Investments and Investment Advisory
    Court: U.S. Court of Appeals for the Second Circuit
    Judge: Circuit Judge John M. Walker, Jr.
    Attorneys: For plaintiff: For Plaintiff-Appellee: Ellen T. Noteware, on the brief, Todd S. Collins, Berger Montague PC, Philadelphia, PA; John J. Nestico, Todd M. Schneider, on the brief, Schneider Wallace Cottrell Konecky LLP, Charlotte, NC and Emeryville, CA.
    for defendant: For Defendant-Appellant: James O. Fleckner, Michael K. Isenman, Kelsey Pelagalli, on the brief, Jaime A. Santos, Goodwin Procter LLP, Washington, DC and Boston, MA. For amici curiae AARP and AARP Foundation: Leah M. Nicholls, on the brief, Public Justice, P.C., Washington, DC, for amicus curiae Public Justice Dara S. Smith, William Alvarado Rivera, on the brief, AARP Foundation, Washington, DC. For amici curiae The Securities Industry and Financial Markets Association, American Benefits Council, Society of Professional Asset Managers and Recordkeepers, American Council of Life Insurers, and Chamber of Commerce of the United States of America: Meaghan VerGow, on the brief, O'Melveny & Myers LLP, Washington, DC.

    Case Number: 21-805-cv

    Class Certification in ERISA Suit Vacated; Predominance Inquiry Did Not Analyze Defenses

  • Law Journal Press | Digital Book

    Florida Evidence and Procedure 2019

    Authors: Patrick S. Montoya, Ervin A. Gonzalez, Ervin A. Gonzalez

    View this Book

    View more book results for the query "*"

  • Honeedew Investing LLC v. Abadi

    Publication Date: 2022-10-19
    Practice Area: Law Firm Client Relationships
    Industry: Investments and Investment Advisory | Legal Services
    Court: U.S. District Court for the Southern District of New York
    Judge: Magistrate Judge Valerie Figueredo
    Attorneys: For plaintiff:
    for defendant:

    Case Number: 19-CV-08951

    Court Grants Defense Counsel's Motion to Withdraw Under Defendant's Instruction

  • Gordon v. Aizenberg

    Publication Date: 2022-10-06
    Practice Area: Securities Litigation
    Industry: Investments and Investment Advisory
    Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
    Judge: District Judge Nelson S. Román
    Attorneys: For plaintiff:
    for defendant:

    Case Number: 7:21 Civ. 51

    Investment Mismanagement Suit Dismissed; Fiduciary Relationship Insufficiently Alleged

  • Gutman v. Lizhi Inc.

    Publication Date: 2022-10-06
    Practice Area: Covid-19 | Securities Litigation
    Industry: Investments and Investment Advisory
    Court: U.S. District Court for the Eastern District of New York, U.S. - EDNY
    Judge: District Judge LaShann DeArcy Hall
    Attorneys: For plaintiff:
    for defendant:

    Case Number: 21-CV-317

    Claim Not Stated Over Chinese Firm's Omission of Covid-19 From IPO Documents

  • Tecku v. Yieldstreet Inc.

    Publication Date: 2022-08-30
    Practice Area: Securities Litigation
    Industry: Investments and Investment Advisory
    Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
    Judge: District Judge Victor Marrero
    Attorneys: For plaintiff:
    for defendant:

    Case Number: 20 Civ. 7327

    Second Largest Investment Loser Appointed Lead Plaintiff in Securities Fraud Action

  • U.S. Sec. & Exch. Comm'n v. Grenda Grp. LLC

    Publication Date: 2022-08-22
    Practice Area: Securities Litigation
    Industry: Investments and Investment Advisory
    Court: U.S. District Court for the Western District of New York, U.S. - WDNY
    Judge: District Judge Christina Reiss
    Attorneys: For plaintiff:
    for defendant:

    Case Number: 1:18-CV-00954

    SEC Awarded Civil Penalties Totaling $567,000 for Investment Advisers Act's Violation

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