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On November 9, 2020, the U.S. Supreme Court denied a petition for certiorari (which, in layman’s terms, is simply a formal request to review a lower court’s ruling) in the case of Retirement Plans Committee of IBM v. Jander. At issue were the following: 1. Whether Fifth Third Bancorp v. Dudenhoeffer’s “more […]
Author: Zamansky LLC
BY NEVIN E. ADAMS, JD NOVEMBER 10, 2020 FIDUCIARY RULES AND PRACTICES Those who had hoped for some clarity—or perhaps a shift—in the standards involving where, and how, to draw the line between the obligations of corporate officials and ERISA plan fiduciaries—well, the Supreme Court has decided (again) not to […]
Via: www.jdsupra.com Securities Law Mr. Marcus then went on to discuss the Court’s per curiam dismissal and remand in Retirement Plans Committee of IBM v. Jander, 140 S. Ct. 592 (2020), regarding the intersection of the securities laws and the Employee Retirement Income Security Act (ERISA). Mr. Marcus noted that […]
The Financial Industry Regulatory Authority (FINRA) recently launched a new website, and its new site includes a “For Investors” section that provides several useful tools and resources for individuals who invest directly through their own brokers and advisors. If you have questions about investment options or how to recover fraudulent […]
The U.S. Securities and Exchange Commission (SEC) recently announced that it has settled charges against The Cheesecake Factory based on allegations that the company made fraudulent representations in its public disclosures. According to the SEC’s press release, “[t]he action is the SEC’s first charging [of] a public company for misleading […]
As an individual investor, choosing a broker requires careful research. You need to choose a broker who can help you make informed decisions, who will act with your best interests in mind, and who lacks any history of complaints from former clients. The Financial Industry Regulatory Authority’s (FINRA) BrokerCheck tool […]
“Investors should be aware that news reports stating that FINRA has approved a security for trading, quoting or listing are wrong in virtually every respect.” This is an important message that the Financial Industry Regulatory Authority (FINRA) wants all individual investors to know. In addition to inaccurate news headlines, scam […]
As an individual investor, you cannot be too careful when it comes to making decisions about how to invest your hard-earned funds. The risk of losing money to investment scams and other fraudulent practices is a very real concern, and even highly-experienced investors can (and do) lose substantial sums to […]
World Investor Week is an educational effort promoted by the U.S. Securities and Exchange Commission (SEC) and various other securities regulators throughout the United States and around the world. Each year, the SEC promotes a handful of key messages that are, “focus[ed] on long-term investing; understanding key financial concepts such […]
As an investor, you need to make sound decisions based on accurate information that you obtain from reliable sources. Unfortunately, in today’s world, this is easier said than done. Individual investors face a barrage of misinformation, and even seemingly-trustworthy sources can lead investors astray. As securities fraud attorneys who represent […]