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Investment Management › Professional Liability

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Plan sponsor taken off 403(b) lawsuit, advisor isn’t so lucky

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

A plan sponsor was spared from a 403(b) lawsuit, but the advisor is still on the hook. Two plaintiffs filed a complaint in Texas federal court against their employer, Legacy Counseling Center, Inc. the plan’s manager,...more

Akin Gump Strauss Hauer & Feld LLP

Big Data and the Risks of Insider Trading

Akin Gump Strauss Hauer & Feld LLP on

In the perennial quest for alpha, investment managers have turned increasingly to big and alternative data for market insights. The most prominent consumers of this data on Wall Street are managers of ‘‘quant’’ funds, which...more

Haight Brown & Bonesteel LLP

Claims Made During Policy Period Barred When Arising Out of Facts Disclosed or Required to be Disclosed in Application

Haight Brown & Bonesteel LLP on

In Crown Capital Securities v. Endurance Amer. Specialty Ins. Co. (No. B256241, filed 4/10/15), a California appeals court affirmed summary judgment for a professional liability insurer on a finding that coverage was barred...more

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