Joel Rothman

Joel Rothman

Mintz Levin

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A Quick Glance: The Two Central Holdings from the U.S. Supreme Court’s Decision in Halliburton

In what amounted to a 6-3 decision, the Supreme Court held in Halliburton Co. v. Erica P. John Fund, Inc., 573 U.S. ___ (2014) that the presumption of reliance based on the fraud-on-the-market theory, first articulated in...more

6/25/2014 - Basic v Levinson Class Action Fraud Fraud-on-the-Market Halliburton Halliburton v Erica P. John Fund Rule 10b-5 SCOTUS Securities Exchange Act

Three Options for Institutional Investors Pursuing Claims Against Non-U.S. Issuers in the Wake of Morrison and City of Pontiac

In its 2010 Morrison decision, the Supreme Court decided that Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b) (“Section 10(b)”),only reaches “transactions in securities listed on domestic exchanges”...more

5/22/2014 - City of Pontiac Fraud Morrison v National Australia Bank SCOTUS SEC Securities Exchange Act Securities Fraud

SEC Cybersecurity Initiative: Five Steps ALL Broker-Dealers and Investment Advisers Should be Taking

Last week, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative....more

5/6/2014 - Broker-Dealer Cyber Attacks Cyber Insurance Cybersecurity Cybersecurity Framework Data Breach Data Protection Identity Theft OCIE Red Flags Rule SEC

Specific Steps Broker-Dealers and Investment Advisers Should Take in Response to the SEC’s Cybersecurity Initiative

On April 15, 2014 the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative....more

4/28/2014 - Broker-Dealer Brokers Cyber Attacks Cybersecurity Data Protection OCIE SEC

Supreme Court Does Not Seem Inclined to Overrule the Presumption of Reliance; But Changes for How Reliance Is Handled at Class...

The Supreme Court heard arguments yesterday in Halliburton Co. v. Erica P. John Fund, Inc. One issue presented in the case is whether the court should overrule or substantially modify the holding of Basic Inc. v. Levinson, a...more

3/7/2014 - Class Action Class Certification Fraud-on-the-Market Halliburton Halliburton v Erica P. John Fund Justifiable Reliance Rebuttable Presumptions SCOTUS

The Supreme Court Narrows SLUSA’s Reach and Expands the Pool of Potential Defendants Subject to State Securities Law Class Actions

On February 26, 2014, the United States Supreme Court limited the reach of the Securities Litigation Uniform Standards Act of 1998 (SLUSA), thereby increasing the number of individuals and entities that may be surprised to...more

3/5/2014 - Chadbourne & Parke LLP v Troice Claim Preclusion Class Action Preemption SCOTUS Securities Litigation SLUSA

The Evisceration of the Federal Securities Law

I. Introduction - a. Legislative history of the Securities Act of 19331 (“Securities Act”) and the Securities Exchange Act of 19342 (“Exchange Act” and collectively, the “Acts”). ..i. Congress passed the Acts...more

2/13/2014 - Dodd-Frank Legal History PSLRA SEC Securities Act of 1933 Securities Exchange Act

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