David Goldberg

David Goldberg

Katten Muchin Rosenman LLP

Contact  |  View Bio  |  RSS

Latest Publications

Share:

Parkcentral v. Porsche: Second Circuit Opens the Doors of Morrison, and Declines to Apply Section 10(b) to Domestic...

In Parkcentral Global Hub Ltd,. et al. v. Porsche Automobile Holdings SE, et al., Dkt. No. 11-397-cv (2d Cir. Aug. 15, 2014), the US Court of Appeals for the Second Circuit affirmed the lower court’s dismissal of plaintiffs’...more

8/27/2014 - Appeals Automotive Industry Extraterritoriality Rules Morrison v National Australia Bank Porche Section 10(b) Securities Securities Exchange Act Security-Based Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 33

In this issue: - ISS Launches New Equity Plan Data Verification Portal - ISDA Publishes Protocol for 2014 Credit Derivatives Definitions - FinCEN Issues Advisories for US Financial Institutions -...more

8/25/2014 - CFTC Class Action Class Certification Compliance Contests & Promotions Derivatives EMIR Equity Plans ESMA EU FCA FinCEN Fraud ISDA ISS Judge Rakoff OCC Rule 10(b) SEC Security-Based Swaps SEFs Social Media Swap Dealers Swaps

Second Circuit Holds Mandatory Broker Dealer Arbitration Not Available to Non-Customer

On May 15, the US Court of Appeals for the Second Circuit issued a summary order in a closely watched case regarding the circumstances in which a broker dealer may be compelled to arbitrate with an institutional counter-party...more

6/5/2014 - Appeals Arbitration Broker-Dealer FINRA Institutional Investment Mandatory Arbitration Clauses Market Participants

Corporate and Financial Weekly Digest - Volume IX, Issue 22

In this issue: - Delaware Legislation Banning Fee-Shifting in Bylaws and Charters - CFTC Proposes to Amend De Minimis Threshold for Swaps with Utility Providers - CFTC Grants Recordkeeping Relief for...more

6/2/2014 - Arbitration Broker-Dealer Bylaws CFTC Commodities De Minimis Claims Derivatives FCPA Fee-Shifting Statutes Foreign Official Fraud Instrumentality Mandatory Arbitration Clauses SEFs Swaps Utilities Sector

SDNY Holds No Attorney-Client Privilege Applies to Communications With In-House Legal Department in China

A US District Court in the Southern District of New York recently ordered Bank of China Limited (BOC) to produce thousands of documents that the court found not to be protected by the attorney-client privilege or work-product...more

12/16/2013 - Attorney-Client Privilege China Confidential Communications Corporate Counsel

Gruss v. Zwirn: SDNY Strikes a Blow Against Selective Waiver

On November 20, 2013, US District Judge Paul G. Gardephe of the US District Court for the Southern District of New York issued a decision with potentially significant consequences for attorneys conducting internal...more

12/9/2013 - Attorney-Client Privilege Compliance Corporate Counsel Internal Investigations SEC Selective Waivers

SEC Issues Frequently Asked Questions on Supervisory Liability of Broker-Dealer Compliance and Legal Personnel Under Section...

On September 30, 2013, the US Securities and Exchange Commission (SEC) Division of Trading and Markets issued Frequently Asked Questions (FAQs) in an effort to provide guidance regarding potential supervisory liability of...more

10/14/2013 - Broker-Dealer Chief Compliance Officers Compliance Corporate Counsel SEC Securities Exchange Act Supervisors

7 Results
|
View per page
Page: of 1