Peter Isajiw

King & Spalding

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U.S. Supreme Court’s Cyan Decision Confirms State Courts’ Jurisdiction Over Securities Act of 1933 Class Actions

On March 20, 2018, the United States Supreme Court issued a unanimous decision in Cyan, Inc. v. Beaver County Employees Retirement Fund. Cyan resolves a nearly two-decades-long split among state and federal courts concerning...more

3/22/2018 / Class Action , Cyan Inc v Beaver Cty Emps Ret Fund , Jurisdiction , Removal , SCOTUS , Securities Act of 1933 , Securities Violations , SLUSA , State Law Claims

U.S. Supreme Court’s ANZ Decision Prohibits Tolling Of The Securities Act Of 1933’s Three -Year Statute Of Repose

The Securities Act of 1933 prevents a securities purchaser from suing over an alleged material misstatement or omission in a registration statement more than three years after the offeringdate. A circuit split developed over...more

6/29/2017 / CalPERS v ANZ Securities , Class Action , SCOTUS , Securities Act of 1933 , Statute of Limitations , Statute of Repose , Tolling

The SEC’s Customer Protection Rule Initiative and Whistleblower Protection Efforts – What Broker-Dealers Need to Know

On June 23, 2016, the SEC instituted a settled enforcement action against Merrill Lynch, Pierce, Fenner & Smith Inc. and Merrill Lynch Professional Clearing Corp. (collectively, “Merrill”), in which Merrill agreed to pay $415...more

7/13/2016 / Broker-Dealer , Chief Compliance Officers , Customer Protection Rule , Enforcement Actions , MCDC , Merrill Lynch , Publicly-Traded Companies , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Whistleblower Protection Policies

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