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Financial Services Weekly News - April 2017

by Goodwin on

Editor's Note - A New Argument for Financial Regulatory Reform. Over the past several weeks, there has been a steady stream of pessimistic views on the prospects for meaningful financial regulatory reform. Senate Banking...more

PHH v. CFPB: CFPB Not Dodging Constitutionality Questions

by Hinshaw & Culbertson LLP on

Friday March 31st marked the deadline for CFPB to file its brief in response to PHH in the en banc hearing. In granting en banc review, the court sought guidance from the parties on 3 specific questions. Here's a quick...more

Financial Services Weekly News - November 2016 #2

by Goodwin on

Editor's Note - FinTech at the Forefront. FinTech remains at the forefront of Washington’s discussions about how best to regulate financial products and services. As discussed in more detail below, the SEC announced the...more

Are We Headed into a Perfect Storm of Securities Class Action Filings?

The history of securities litigation is marked by particular types of cases that come in waves: ..the IPO laddering cases, which involved more than 300 issuers and their underwriters; ..the Sarbanes-Oxley era...more

Financial Services Weekly News - May 2016 #3

by Goodwin on

Regulatory Developments - SEC Publishes Small Entity Compliance Guide for Crowdfunding - On May 13, the Securities and Exchange Commission (SEC) published a small entity compliance guide for companies wishing to...more

CFPB Wins MTD, But Loses on Scienter Standard for Aiding-and-Abetting Claims

by MoFo Reenforcement on

A federal judge has rejected the CFPB’s argument that the CFPA should incorporate a lower standard for “recklessness” than that to secondary liability under the Securities and Exchange Act of 1934 (“SEC Act”). On September 1,...more

Orrick's Financial Industry Week in Review

ICMA Issues Updated Legal Opinions On GMRA - On April 9, the International Capital Market Association (ICMA) published the 2015 legal opinions on the Global Master Repurchase Agreement (GMRA), the principal standard...more

Financial Services Weekly News Roundup - March 2015 #3

by Goodwin on

SEC Focus on Disqualification Waivers. When negotiating a settlement of an SEC enforcement action against a registered financial services firm – or one that hopes one day to become registered – it is vital to consider the...more

BakerHostetler 2014 Year-End Review of Class Actions (and what to expect in 2015)

by BakerHostetler on

We are pleased to share with you the BakerHostetler 2014 Year-End Review of Class Actions, which offers a summary of some of the key developments in class action litigation during the past year. Class action litigation...more

Class Actions News - Deborah Renner on Dart Cherokee Basin v. Owens [Video]

by Lawline.com on

On December 15th 2014, the Supreme Court of the United States decided upon Dart Cherokee Basin Operating Co. v. Owens, which lowers the removal standard of class action lawsuits to federal court. This decision established...more

Data Breach Case Update: Shareholder Derivative Suit Dismissed

by Butler Snow LLP on

We recently discussed the increase in data breach litigation which resulted after several high-profile data breaches. You can read those articles here and here. Not surprisingly, several of these suits involve class actions...more

A Compilation of Enforcement and Non-Enforcement Actions

by Foley & Lardner LLP on

Non-Enforcement - Assets Under Management by Registered Investment Advisers Have Increased Substantially - Will “Accredited Investor” Definition Be Changed? - Excessive Fee Case Withstands Dismissal -...more

Business Litigation Reporter -- October 2014

by Goodwin on

California - Browsewrap Arbitration Agreement Not Enforced Against Individual Consumer. In Nguyen v. Barnes & Noble Inc., 2014 WL 4056549 (9th Cir. Aug. 18, 2014), the Ninth Circuit affirmed the denial of B&N’s motion...more

The effect of the American Meat Institute Decision on the Conflict Minerals Rule

As we have discussed over the last few months, the fate of the conflict minerals rule has been uncertain. In April 2014, in the National Association of Manufacturers (“NAM”) case, the Court of Appeals for the D.C. Circuit...more

Corporate and Financial Weekly Digest - Volume IX, Issue 32

In this issue: - SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements - ICE Futures U.S. Issues Amendments to EFRP Rule and FAQs - Consumer Financial...more

Dodd-Frank News: May 2014: Dodd-Frank Wall Street Reform and Consumer Protection Act Update

by Burr & Forman on

In This Issue: - RECENT CASES ..Preemption ..CFPB Involvement in Litigation ..CFTC Regulation of Retail Commodity Transactions ..Durbin Amendment ..Appraiser Disclosure Requirements Under...more

FINRA Board of Governors Invalidates Class Action Waivers in Customer Account Agreements

In an April 24th ruling that will have widespread impact among financial institutions, the FINRA Board of Governors held that a broker-dealer violated FINRA rules by including a mandatory class action waiver in its customer...more

Out of the Box: Legal guidance for the consumer product + retail industry - Volume 2, Issue 1, Spring 2014

by Morrison & Foerster LLP on

In This Issue: - California Announces First Consumer Products Subjected To New Green Chemistry Rules - FDA Issues Final Guidance Distinguishing Liquid Dietary Supplements from Beverages - Private Surgeon General...more

Expect Focus - Volume 1, Winter 2014

by Carlton Fields on

In This Issue: - IN THE SPOTLIGHT ..Sixth Circuit Revisits Controversial ERISA Decision - LIFE INSURANCE ..Summary Judgment Victory for Life Insurer in Annuity Class Action ..Favorable Secondary Life Market...more

BakerHostetler 2013 Year-End Review of Class Actions (and what to expect in 2014)

by BakerHostetler on

I. Introduction - Library shelves will someday swell with history books about the U.S. Supreme Court under the leadership of Chief Justice John Roberts. No doubt sensational cases about corporate speech, national...more

Corporate and Financial Weekly Digest - September 13, 2013

In this issue - - Federal Agencies Seek Comment on Joint Proposed Rule Regarding Credit Risk Retention - SEC Grants Request for No-Action Relief with Respect to Multi-Day Pre-Fail and Post-Fail Credit Under Rule...more

7th Circuit Explains Rationale of Class Action Attorneys’ Fees

by Pavlack Law, LLC on

This week's discussion focuses on the 7th Circuits examination of that rationales underlying the class action attorneys' fee awards in Silverman v. Motorola Solutions, Inc....more

Orrick's Financial Industry Week in Review - July 1, 2013

Council of the EU Announces Political Agreement on the Market Abuse Regulation (MAR) - On June 26, following long running negotiations, the Council of the EU announced a compromise with the European Parliament on the...more

Orrick's Financial Industry Week In Review - June 3, 2013

In This Issue: CFPB Final Rule Amendments to Ability to Repay and QM Rule; Extension of Loan Modification Programs; Freddie Mac $1 Billion Performing Modified Loan Securitization; FinCEN Guidance on Virtual Currency...more

Kommissionsrecht. Selbsteintritt. Beweislast.

by Oliver Arter on

Kommissionsrecht. Selbsteintritt. Beweislast. Bundesgericht, I. Zivilabteilung, Urteil vom 21. November 2012 i.S. X. c. Bank Z AG (BGer 4A_295/2012) (amtliche Publikation vorgesehen)....more

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