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Aug 29, 2013

Criminal Practice – Court Sees Discovery Abuse, But Upholds Conviction

U.S. v. Bartko : A securities lawyer convicted of crimes arising from a fraudulent investment scheme cannot win a new trial based on his claims that the government withheld information favorable to his case; the 4th Circuit upholds the lawyer’s convictions, but admonishes the prosecutors in this district about a pattern of discovery abuse.

Aug 16, 2012

Attorneys – Tort/Negligence — Legal Malpractice Claim – Real Property – Closing – Fiduciary Duty – Unfair Trade Practices – Securities

RFT Management Co. v. Tinsley & Adams L.L.P. Since the parties agreed at trial that plaintiff’s legal malpractice claim involved questions of fact that required submission of the claim to a jury, plaintiff may not now complain that it was entitled to judgment as a matter of law on its legal malpractice claim.

Feb 23, 2012

Attorneys – Fees – S.C. Statute – Frivolous Lawsuits – Arbitration – Securities – Labor & Employment

Wachovia Securities LLC v. Brand A securities firm that lost its FINRA arbitration proceeding against former employees who left to work for a competitor winds up paying over $1 million in attorney’s fees under a South Carolina statute that penalizes frivolous lawsuits; the 4th Circuit affirms the district court order refusing to vacate the arbitration award in favor of the former employ[...]

Mar 21, 2011

Securities – Fraud – Leveraged Buyout – Disappointed Investors – Civil Practice – Pleadings Amendments

Katyle v. Penn National Gaming Inc. (Lawyers Weekly No. 001-055-11, 31 pp.) (Baldock, J.) No. 09-2272, March 14, 2010; USDC at Greenbelt, Md. (Messitte, J.) 4th Cir. Click here for the full text of the opinion. Holding: Plaintiffs, investors who were disappointed after a gaming company’s projected leveraged buyout failed to go through in 2008, […]

Dec 10, 2010

Supremes ponder service provider’s securities liability

The justices of the U.S. Supreme Court grappled with the question of whether a claim may be stated against a service management company for alleged securities violations of the mutual funds it sponsors. Appealed from the 4th Circuit, the case, Janus Capital Group v. First Derivative Traders, is a class action brought by shareholders who claim they received misleading information in prospectuses re[...]

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