Paul A. Corey & Assocs., Inc. v. Great-West Life & Annuity Ins. Co.
on

By Christopher G. Lazarini

The SEC’s pay-to-play rule makes it unlawful for any registered investment adviser and others identified in 17 C.F.R ,

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Wilmington Trust Securities Litigation, In Re
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By David C. Franceski, Jr.

*A settlement fund of $210 million, equal to 40% of claimed damages in a complex securities class action involving 8 years of litigation is both fair and reasonable under Rule 23(e) and Third Circuit standards.

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Turbeville v. Department of Financial Services
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By Burton W. Wiand

That a state insurance agency relies, for revocation purposes, upon a sanction for refusing a FINRA Rule 8210 request,

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SEC v. Blockvest, LLC
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By Ben Suter

Proof of investors’ expectations in a company’s future business is insufficient to prove an “expectation of profits” required for an investment to be a “security” under securities laws.

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Brummer v. Wey
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By Jill I. Gross

Appellate Division vacates preliminary injunction issued by trial court against a website that published inflammatory and offensive content criticizing a member of FINRA’s National Adjudicatory Council who banned a broker from the industry.

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Cottonwood Centers, Inc. v. Klearman
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By Paul J. Dubow

Incorporation of a separate document into an agreement requires that the reference must be clear and unequivocal and must be called to the attention of the other party who must consent thereto.

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