The Delaware Court of Chancery recently ruled that a settlement agreement does not have to be fully executed by all parties to be enforceable....more
5/16/2013
In a case involving “several questions of first impression,” the US District Court for the Southern District of New York denied summary judgment for all but one of the defendants in a case alleging violations of the...more
5/15/2013
The US District Court for the Eastern District of New York recently ruled that Securities and Exchange Commission enforcement actions cannot be dismissed on grounds that the SEC failed to comply with Section 929U of the...more
4/3/2013
- Discovery Dodd-Frank SEC
The US District Court for the Southern District of Florida confirmed that third-party beneficiaries of a contract containing an arbitration clause may be compelled to arbitrate their claims notwithstanding that the...more
12/29/2012
- Arbitration Agreements Beneficiaries LLC Third-Party
Bruce Karpati, Chief of the Securities Exchange Commission Enforcement Division’s Asset Management Unit (AMU), spoke before the Regulatory Compliance Association earlier this week to address the AMU’s current enforcement...more
12/28/2012
- Asset Management Hedge Funds SEC
The US District Court for the Northern District of New York granted the Securities and Exchange Commission’s motion for entry of final judgment and monetary relief of disgorgement and prejudgment interest against defendants...more
11/14/2012
A group of investors in a software company that services the property management industry commenced an action alleging violations of federal securities law and breaches of state law fiduciary duties against directors and...more
11/14/2012
