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Investment Adviser › Liability Insurance

Wiley Rein LLP

“Securities Claim” Exclusion Applied Where Notes Constituted a “Security” as Defined by the Securities Acts

Wiley Rein LLP on

The United States District Court for the Eastern District of Michigan, applying Michigan law, has held that an exclusion in an investment adviser’s professional liability policy applicable to claims arising from the sale of...more

Pillsbury Winthrop Shaw Pittman LLP

Registered Firms: Annual Compliance Obligations—What You Need To Know

Pillsbury Winthrop Shaw Pittman LLP on

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Get fiduciary liability insurance

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

The warranty in the electronics business is gravy for the retailers who sell it. You’ll be surprised how many people pay $20 to get a warranty on a $100 Blu-Ray player. When Best Buy was going national, they advertised how...more

Manatt, Phelps & Phillips, LLP

Insurance Recovery Law - May 2015

Manatt, Phelps & Phillips, LLP on

California Appellate Court: All Claims “Arising From” Ponzi Scheme Are Precluded - Why it matters: Concluding that any claims related to a Ponzi scheme—even if they involved different investors, investments, or...more

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