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Publication Date: 2024-02-22
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: District Judge Arun Subramanian
Attorneys: For plaintiff: For Plaintiffs-Appellants: Vincent Briganti, Lowey Dannenberg, P.C., White Plains, NY, on the brief, Margaret C. MacLean, Lowey Dannenberg, P.C., White Plains, NY.
for defendant: For Defendants-Appellees: Susan Saltzstein, Kamali P. Willett, Kartik Naram, Skadden, Arps, Slate, Meagher & Flom LLP, New York, NY; Adam S. Hakki, Shearman & Sterling LLP, New York, NY; Alan Schoenfeld, Wilmer Cutler Pickering Hale and Dorr LLP, New York, NY; Paul S. Mishkin, Caroline Stern, Davis Polk & Wardwell LLP, New York, NY; Lev L. Dassin, Roger A. Cooper, Samuel Levander, Cleary Gottlieb Steen & Hamilton LLP, New York, NY; John Terzaken, Karen M. Porter, Simpson Thacher & Bartlett LLP, Washington, DC, on the brief, Boris Bershteyn, Skadden, Arps, Slate, Meagher & Flom LLP, New York, NY.
Case Number: 22-2093
Mexican Banks Had Contacts With NY Based on Sales by 'Pass-Through' Broker-Dealers
Publication Date: 2024-02-09
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Richard C. Wesley
Attorneys: For plaintiff: For Plaintiffs-Appellants: Stacy L. Ceslowitz, on the brief, Steven M. Kayman, Rottenberg Lipman Rich, P.C., New York, NY.
for defendant: For Defendants-Appellees: Jeffrey R. Wang, Alexandra Elenowitz-Hess, on the brief, Lawrence Robbins, Friedman Kaplan Seiler Adelman & Robbins LLP, New York, NY.
Case Number: 23-154
TIA Did Not Protect Indenture Where Exchange Offer Was Private Placement
Publication Date: 2023-12-08
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Richard C. Wesley
Attorneys: For plaintiff: For Plaintiffs-Appellees: Jacob W. Buchdahl, Susman Godfrey LLP, New York, NY, on the brief, Mark P. Musico, Susman Godfrey LLP, New York, NY.
for defendant: For Defendants-Appellants Nuveen Floating Rate Income Fund, Nuveen Floating Rate Income Opportunity Fund, Nuveen Short Duration Credit Opportunities Fund, Nuveen Global High Income Fund, and Nuveen Senior Income Fund: Parker Rider-Longmaid, Kyser Blakely, Skadden, Arps, Slate, Meagher & Flom LLP, Washington, DC; Scott Musoff, Boris Bershteyn, Skadden, Arps, Slate, Meagher & Flom LLP, New York, NY; Eben Colby, Emily Jennings, Skadden, Arps, Slate, Meagher & Flom LLP, Boston, MA, on the Brief, Shay Dvoretzky, Skadden, Arps, Slate, Meagher & Flom LLP, Washington, DC.
For Defendants-Appellants Terence J. Toth, Jack B. Evans, William C. Hunter, Albin F. Moschner, John K. Nelson, Judith M. Stockdale, Carole E. Stone, Margaret L. Wolff, Robert L. Young, and Matthew Thornton III, in their capacity as Trustees of the Nuveen Trusts: Robert A. Skinner, Douglas Hallward-Driemeier, Amy D. Roy, Ropes & Gray LLP, Boston, MA.
For Amicus Curiae The Investment Company Institute in Support of Defendants-Appellants: Susan Olson, Dorothy Donohue, Kenneth Fang, The Investment Company Institute, Washington, DC; Steven A. Engel, David A. Kotler, Michael H. McGinley, Dechert LLP, New York, NY.
For Amicus Curiae Bulldog Investors, LLP in Support of Plaintiffs-Appellees: Aaron T. Morris, Andrew W. Robertson, Morris Kandinov LLP, New York, NY.
Case Number: 22-407
Firm's Bylaws Amendment Violates ICA as Restriction on Shareholders, Not on Shares
Publication Date: 2023-11-30
Practice Area: Securities Litigation
Industry: Financial Services and Banking | Investments and Investment Advisory
Court: U.S. District Court for the Eastern District of New York, U.S. - EDNY
Judge: Magistrate Judge Peggy Kuo
Attorneys: For plaintiff:
for defendant:
Case Number: 23-CV-8123
Securities Fraud Suits Consolidated; Lead Plaintiff Retirement System Had Greatest Loss
Publication Date: 2023-11-06
Practice Area: Securities Litigation
Industry: Federal Government | Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Steven J. Menashi
Attorneys: For plaintiff: For Plaintiff-Appellee: Michael A. Conley, Solicitor, on the brief, Kerry J. Dingle, Senior Appellate Counsel, Securities and Exchange Commission, Washington, DC.
for defendant: For Defendant-Appellant: Adam C. Ford, Stephen R. Halpin III, on the brief, Matthew Aaron Ford, Ford O'Brien Landy LLP, New York, NY.
Case Number: 22-1658
Court Needed to Find if Investors Suffered Pecuniary Harm Before Awarding Disgorgement
Law Journal Press | Digital Book
Authors: Patrick S. Montoya, Ervin A. Gonzalez, Ervin A. Gonzalez
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Publication Date: 2023-10-05
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, U.S. - SDNY
Judge: District Judge John P. Cronan
Attorneys: For plaintiff:
for defendant:
Case Number: 22 Civ. 6637
Underperformance Claims Did Not Plausibly Allege Violation of Duty of Prudence
Publication Date: 2023-09-13
Practice Area: Contractual Disputes
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Sarah A. L. Merriam
Attorneys: For plaintiff: For Plaintiff-Appellant NexPoint Diversified Real Estate Trust: Griffin S. Rubin, on the brief, Mazin A. Sbaiti, Sbaiti & Company PLLC, Dallas, TX.
for defendant: For Defendants-Appellees Acis Capital Management, L.P. and Joshua N. Terry: Jonathan E. Pickhardt, William B. Adams, on the brief, Blair A. Adams, Quinn Emanuel Urquhart & Sullivan, LLP, New York, NY.
For Defendant-Appellee Brigade Capital Management, LP.: Jason C. Hegt, Alexis K. Godfrey, on the brief, Samir Deger-Sen, Latham & Watkins LLP, New York, NY.
For Intervenor-Defendant-Appellee Highland CLO Funding, Ltd.: Jennifer E. Poon, on the brief, Uri A. Itkin, Akin Gump Strauss Hauer & Feld LLP, New York, NY.
Case Number: 22-1912
Contract Rescission Action Does Not State Claim; Does Not Violate IAA
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'
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
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
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