Litigation

Recent Posts

Web Archiving: The Next Phase In The Evolution Of Archiving
Posted on 31 Jan 2011 by LexisNexis Litigation Resource Community Staff

(This is an excerpt of an Osterman Research Inc. White Paper sponsored by Reed Tech Web Archiving Services and LexisNexis. Please click here to download the entire White Paper .) Executive Summary OVERVIEW The web has become the primary communication... Read More

Tags: HIPAA , Sarbanes-Oxley , Reed Tech Web Archiving Services , FINRA , electronic records , Securities and Exchange Commission , E-Discovery , FRCP , discovery , Web archiving , Federal Rules of Civil Procedure , SEC , Health Insurance Portability and Accountability Act , LexisNexis , Litigation , Model Requirements for the Management of Electronic Records , Financial Industry Regulatory Authority , lawsuit , White Paper , regulatory compliance , Osterman Research Inc. , MoReq

SEC Reaches $200 Million Subprime Settlement With Investment Firms
Posted on 22 Jun 2011 by Timothy Raub

WASHINGTON, D.C. - (Mealey's) Investment adviser Morgan Asset Management Inc., broker-dealer Morgan Keegan & Co. Inc. and employees of both firms have agreed to pay more than $200 million to settle claims related to subprime mortgage-backed securities... Read More

Tags: Morgan Keegan & Co. , In the Matter of Morgan Asset Management , NAV , FINRA , Securities and Exchange Commission , financial services , Securities Act , net asset values , Joseph Thompson Weller , SEC , investment firms , Litigation , Morgan Asset Management , Financial Industry Regulatory Authority , James C. Kelsoe Jr. , Settlement , Securities

Fulbright Briefing: In Mixed Ruling, California Court Addresses Interplay Between Arbitration and Choice-of-Law Provisions in Customer Agreements
Posted on 24 Oct 2012 by Norton Rose Fulbright

By Ellen Bush Sessions , Eric A. Herzog and Spencer Persson In a recent decision with implications for broker-dealers and other companies that do business in California, the California Court of Appeal considered whether the Federal Arbitration Act... Read More

Tags: CAA , FAA , preemption , Spencer Perrson , FINRA , Arbitration , Mastick v. TD Ameritrade , Fulbright &amp , California , Jaworski , AAA , Eric Herzog , Oakwood Capital Management , Federal Arbitration Act , Ellen Sessions , Litigation , Financial Industry Regulatory Authority , American Arbitration Association , Inc. , amp , California Court of Appeal , California Arbitration Act , professional negligence