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UBS Financial Services Inc. v. WVU Hospitals Inc.
U.S. Court of Appeals for the Second Circuit FINRA Arbitration — Forum Selection UBS Financial Services Inc. v. WVU Hospitals Inc. 11-235-cv Judges Raggi, Lohier and Preska Background: The plaintiff-appellants appealed the denial of their motion for a preliminary injunction that sought to enjoin the defendants from proceeding with arbitration before the Financial Industry Regulatory […]
Goldman fined $650,000 for disclosure lapse
WASHINGTON, D.C. — Industry regulators have fined Goldman Sachs $650,000 for failing to disclose that two of its brokers, including the executive accused of leading the mortgage securities deal that brought civil fraud charges against the firm, were under investigation by the government.
FINRA fines HSBC Securities $1.5M
The Financial Industry Regulatory Authority on Thursday announced that it has settled charges with two more firms relating to the sale of auction rate securities that became illiquid when auctions froze in February 2008 ...
Scottrade fined $200K for day trading violations
The Financial Industry Regulatory Authority this week announced that it has fined Scottrade Inc. $200,000 for violating pattern day trading margin rules and extending credit to customers in violation of federal securities laws and banking regulations.
FINRA enforcement chief steps down
The Financial Industry Regulatory Authority on Thursday announced said Susan Merrill, who has led FINRA’s Enforcement arm and one of its predecessor organizations for more than five years plans to return to private practice.
Case Digests
- Second Circuit – Class certification: Arkansas Teachers Retirement System V. Goldman Sachs Group Inc.
- Fourth Department – Show-up identification: People v. Waggoner
- Fourth Department – Association: Victory Village Tenants Assoc. v. Evergreen Communities, et al.
- Second Circuit – In personam jurisdiction: Kaplan v. Bank Saderat PLC
- Fourth Department – Labor Law: Verdugo v. Fox Building Group
- Fourth Department – Out-of-possession landlord: Truax v. M.D. Meyer’s Properties
- Fourth Department – Discovery: Sylvester v. Sanders
- Fourth Department – Out-of-possession landlord: Smith v. Marshall Farms Group, et al.
- Second Circuit – Supervised release: United States v. Francis
- Fourth Department – Court of Claims: Santiago v. State of New York
- Fourth Department – Peremptory challenge: People v. Santiago
- Fourth Department – Negligence: Scime v. Hale Northeastern
Law News
- NY ethics panel says judges can join NRA
- Harter Secrest & Emery LLP names partner-in-charge of Buffalo office
- Banned professor sues SUNY Fredonia leaders
- Hochul signs law requiring unemployment insurance information from employers
- Appeals court cancels fine against Rochester nursing home
- Deal reached to protect reproductive health care rights at Jefferson County jail
- $1.5M settlement reached in fatal shooting by Canandaigua police officer
- Orleans County lawsuit against Genesee County threatens STAMP development
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