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H.A.L. NY Holdings LLC v. Guinan

Publication Date: 2018-12-07
Practice Area: Contracts
Industry: Investments and Investment Advisory
Court: U.S. District Court for the Southern District of New York
Judge: District Judge Edgardo Ramos
Attorneys: For plaintiff:
for defendant:
Case Number: 18 Civ. 2275

Client Agreement's Forum Selection Clause Is Applicable to Suit Against Non-Signatory
Sec. & Exch. Comm'n v. Madsen

Publication Date: 2018-10-23
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 Jesse Furman
Attorneys: For plaintiff:
for defendant:
Case Number: 17-CV-8300

Court Explains $80,000 'Second Tier' Penalty Arising From 'Pump-and-Dump' Scheme Judgment
Klein v. Cadian Capital Mgmt. LP

Publication Date: 2018-10-09
Practice Area: Civil Procedure | Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Rosemary Pooler
Attorneys: For plaintiff: For Appellants: Glenn F. Ostrager, on the brief, Paul Dennis Wexler, New York, N.Y.
for defendant: For Appellees: Z.W. Julius Chen, Douglas A. Rappaport, Robert H. Pees, Jessica Oliff Daly, on the brief, James E. Tysse, Akin Gump Strauss Hauer & Feld LLP, Washington, D.C.
Case Number: 17-3218-cv

Firm Should Have Been Substituted in Derivative Action That Should Not Have Been Dismissed
J.P. Morgan Securities Inc. v. Vigilant Ins. Co.

Publication Date: 2018-09-28
Practice Area: Insurance Litigation | Securities Litigation
Industry: Financial Services and Banking | Insurance | Investments and Investment Advisory
Court: Appellate Division, First Department
Judge: Justice Richard Andrias
Attorneys: For plaintiff: For Respondents: Steven E. Obus and Seth Schaffer of counsel, Proskauer Rose LLP, New York
for defendant: For Vigilant Insurance Company and Federal Insurance Company, appellants: James M. McGuire, Daniel M. Sullivan and Gregory Dubinsky of counsel, Holwell Shuster & Goldberg LLP, New York, Joseph G. Finnerty III, Megan Shea Harwick and Eric S. Connuck of counsel, and DLA Piper LLP (US), New York For Liberty Mutual Insurance Company, appellant: Scott A. Schechter, Andrew E. Oldis and Matthew Mawby of counsel, Kaufman Borgeest & Ryan LLP, New York For The Travelers Indemnity Company, appellant: David F. Abernethy of the bar of the State of New Jersey and the State of Pennsylvania, admitted pro hac vice, of counsel, Drinker Biddle & Reath LLP, Philadelphia, PA Marsha J. Indych of counsel, and Drinker Biddle & Reath LLP, New York For National Union Fire Inssurance Company of Pittsburgh, PA, appellant: Kevin J. Windels, Luke D. Lynch and Liza A. Chafiian of counsel, D'Amato & Lynch, LLP, New York For Certain Underwritters at Lloyd's, London, appellant: Edward J. Kirk, Gabriela Richeimer and Matthew Prutting of counsel, Clyde & Co. US LLP, New York For American Alternative Insurance Corporation, appellant: William Ballaine of counsel, Landman Corsi Ballaine & Ford P.C., New York
Case Number: 600979/09

Under 'Kokesh' SEC Disgorgement Is Penalty, Not 'Loss'; Banks Not Entitled to Coverage
Wells Fargo Sec. LLC v. LJM Investment Fund LP

Publication Date: 2018-09-26
Practice Area: Contractual Disputes
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 Katherine Forrest
Attorneys: For plaintiff:
for defendant:
Case Number: 18-cv-2020

Agreement Gave Wells Fargo Broad Authority to Direct Trader to Liquidate Open Positions
AH Investimentos Corp. v. King Equity Partners LLC

Publication Date: 2018-08-30
Practice Area: Contracts
Industry: Investments and Investment Advisory | Real Estate
Court: Supreme Court, Kings County
Judge: Justice Francois Rivera
Attorneys: For plaintiff:
for defendant:
Case Number: 524426/2017

Defendant Seller Failed to Establish Buyer Was Not Ready, Willing and Able to Close
Chardan Capital Mkts.LLC v. N.W. Biotherapeutics Inc.

Publication Date: 2018-08-22
Practice Area: Admiralty | Contracts
Industry: Investments and Investment Advisory | Pharmaceuticals
Court: U.S. District Court for the Southern District of New York
Judge: District Judge P. Kevin Castel
Attorneys: For plaintiff:
for defendant:
Case Number: 17-cv-4727

No Breach of Placement Agency Agreement; Termination Ended All Contractual Obligations
Royal Park Investments SA/NV v. HSBC Bank USA

Publication Date: 2018-08-20
Practice Area: Securities Litigation
Industry: Financial Services and Banking | Investments and Investment Advisory
Court: U.S. District Court for the Southern District of New York
Judge: District Judge Valerie Caproni
Attorneys: For plaintiff:
for defendant:
Case Number: 17-CV-7684

NCUA Does Not Have Sufficient Interest in Trust Fund Lawsuit to Intervene
McBeth v. Porges

Publication Date: 2018-08-14
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 Jesse Furman
Attorneys: For plaintiff:
for defendant:
Case Number: 15-CV-2742

Breach Counterclaim in Suit Over Hedge Fund Investment's Fraudulent Inducement Survives
Rayner v. E*Trade Fin. Corp.

Publication Date: 2018-08-08
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Debra Ann Livingston
Attorneys: For plaintiff: For Plaintiff‐Appellant: Timothy G. Blood, Paula R. Brown, on the brief, Leslie E. Hurst, Blood Hurst & O'Reardon, LLP, San Diego, CA.
for defendant: Brian J. Robbins, Kevin A. Seely, Ashley R., Rifkin, Leonid Kandinov, Robbins Arroyo, LLP, San Diego, CA.; For Defendants — Appellees: Faith E. Gay, Marc L. Greenwald, on the brief, Corey Worcester, Quinn Emanuel Urquhart & Sullivan, LLP, New York, NY.
Case Number: 17-1487

SLUSA Preclusion Elements Satisfied in Best Execution Duty Breach Action Against E*Trade

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