Articles

A Guide to Settlement Plans of Allocation in Securities Class Actions

By Stevie Thurin – November 16, 2018 | How to efficiently and effectively review a plan of allocation.

Challenging Loss Causation after First Solar

By Jeanne Detch – November 15, 2018 | Defenses may focus on pleading standards, especially particularity and plausibility, or on directness principles.

Practice Points

Ninth Circuit Weighs In on the Proper Use of Judicial Notice and Incorporation by Reference

By Erika Oliver – October 31, 2018 | While easy to recite, these doctrines have proved difficult to properly employ.

What Every Broker-Dealer Needs to Know about Protecting Vulnerable Investors from Financial Exploitation

By Heather K. Murphy – October 26, 2018 | As baby boomers and their parents advance in age, legal protections for senior investors are improving and changing rapidly.

Audio

When Does the FINRA Code Require Arbitration of Customer Claims?

By Peter Tepley – February 11, 2019 | This program discusses FINRA Rule 12200 and the Eleventh Circuit's decision in Pictet Overseas, Inc. v. Helvetia Trust, 905 F.3rd 1183 (11th Cir. 2018) interpreting that rule. In particular, it focuses on the court's analysis of when does a customer dispute with a FINRA Member or Associated person arise in connection with the business activities of the associated person so as to require that the dispute be arbitrated under the FINRA Code of Arbitration procedure. It also briefly discusses the holdings in two other cases dealing with similar issues.

Federal Forum Charter Provisions for Securities Claims

By Albert Manwaring – February 11, 2019 | This program addresses whether a Delaware Corporation may include in its certificate of incorporation a forum-selection provision, requiring that 1933 Securities Act claims be filed exclusively in federal court.

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