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Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Wednesday, May 27, 2009

Judge Sotomayor's Securities Law Opinions

My RA has found eleven Second Circuit opinions authored by Judge Sotomayor dealing with securities issues.  Here is the list of the cases and a very brief description of the issue:

Securities Investor Protection Corp v. BDO Seidman, LLP, 222 F. 3d 63, (2nd Cir. 2000)
Discussed the "fraud on the regulatory process" theory as it pertains to reliance

U.S. v. Falcone, 257 F.3d 226 (2nd Cir. 2001)
Addressed the misappropriation theory in regards to insider trading

In re NYSE Specialists Securities Litigation, 503 F.3d 89 (2nd Cir. 2007)
Considered liability for a national security exchange and relevant immunity

Dabit v. Merrill Lynch, Pierce, Fenner & Smith Inc., 395 F.3d 25, (2nd Cir. 2005)
Biased research/investment claim and the applicability of the Securities Litigation Uniform Standards Act preemption (reversed by Supreme Court)

Press v. Quick & Reilly, Inc., 218 F.3d 63 (2nd Cir. 2000)
Addressed binding nature of SEC determination on broker/dealer conduct

LNC Investments, Inc. v. First Fidelity Bank, N.A. New Jersey, 173 F.3d 454 (2nd Cir. 1999)
Bondholders' action for breach of fiduciary duty against trustees

Official Committee of Unsecured Creditors of Worldcom v. SEC, 467 F.3d 73 (2nd Cir. 2006)
Addressed SEC distribution of bankruptcy settlement funds after fraud action

Gerber v. MTC Electronic Technologies CO., LTD, 329 F.3d 297 (2nd Cir. 2003)
Discussed Settlement and Private Securities Litigation Reform Act applicability

Lerner v. Fleet Bank, N.A., 318 F.3d 113 (2nd Cir. 2003)
RICO case involving a ponzi scheme

LNC Investments, Inc. v. National Westminster Bank, New Jersey, 308 F.3d 169 (2nd Cir. 2002)
Applicability of Trust Indentures Act regarding bankruptcy proceedings

Moore v. PaineWebber, Inc., 306 F.3d 1247 (2nd Cir. 2002)
Class Certification in a life insurance fraud action

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