amicus brief summary table_2_
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SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
SIFMA Summary Table of Amicus Briefs 2003 - Present
Case Name Court Date Filed Amicus Issue Counsel of Record
Retirement Board of the U.S. District Court 26-Apr-12 Whether residential mortgage-backed securities certificates issued by Cadwalader,
Policemen’s Annuity and (S.D.N.Y.) certain New York common law trusts are debt, not equity, and thus, Wickersham & Taft LLP
Benefit Fund of the City of covered by the Trust Indenture Act which generally applies to debt
Chicago, et al. v. The Bank securities. Martin L. Seidel
of New York Mellon Maurine Bartlett
Jordan Schwartz
Raymond James v. Phillips Florida Supreme 19-Apr-12 Whether Florida’s statutes of limitations are applicable to securities Greenberg Traurig,
Court arbitration claims when the parties have not expressly included a P.A.
provision in the arbitration agreement stating that they are
applicable. Bradford D. Kaufman
Joseph C. Coates, III
Jason M. Fedo
Chen-Oster v. Goldman U.S. Court of 3-Apr-12 Whether a brokerage firm’s employees are exempt from their duty to Morgan, Lewis &
Sachs Appeals arbitrate claims with their firm, pursuant to a pre-dispute agreement Bockius LLP
(Second Circuit) to arbitrate, if they allege a patter or practice claim under Title VII of
the Civil Rights Act of 1964. Sam S. Shaulson
Howard M. Radzely
1 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
RadLAX Gateway Hotel v. U.S. Supreme Court 9-Mar-12 Whether a debtor may pursue a Chapter 11 plan that proposes to sell Wilmer Cutler
Amalgamated Bank assets free of liens without allowing the secured creditor to credit Pickering Hale and
bid, but instead providing it with the indubitable equivalent of its Dorr LLP
claim under Section 1129(b)(2)(A)(iii) of the Bankruptcy Code.
Seth P. Waxman
Craig Goldblatt
Danielle Spinelli
Hanson v. Morgan Stanley U.S. Court of 27-Jan-12 Whether the industry standard employee trading policies of broker- Weil, Gotshal &
Smith Barney Appeals dealers – which require employees to generally maintain their Manges LLP
(Ninth Circuit) personal brokerage accounts in-house – violates a California law that
prohibits employers from forcing employees to patronize the Allan Dinkoff
employer.
2 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Pinnacle v. Dadong U.S. Court of 18-Jan-12 Whether plaintiffs may circumvent the U.S. Supreme Court’s decision O’Melveny & Meyers
Appeals in Morrison v. National Australia Bank by bringing only common law LLP
(Second Circuit) fraud and related claims instead of federal securities law claims in
order to open the doors of the U.S. federal courts to claims based on Walter Dellinger
the sale of securities in foreign nations to foreigners. Jonathan D. Hacker
SEC v. Richardson U.S. Court of 30-Nov-11 Whether SEC claims for civil penalties are barred by the five-year Cleary Gottlieb Steen
Appeals statute of limitations (28 USC Section 2462) or whether the discovery & Hamilton LLP
(Fifth Circuit) rule delays the running until the alleged securities law violations are
discovered. Whether certain forms of relief, such as an injunction, Lewis J. Liman
and an officer and director bar, are penalties under Section 2462 Katherine L. Wilson-
because they are equitable and non-monetary. Milne
Zuckerman Spaeder
LLP
Paul Shechtman
In re Jefferson County, U.S. Bankruptcy 17-Nov-11 Whether a state-appointed receiver should remain in charge of the SIFMA
Alabama Court (N.D. county’s sewer system and the revenues therefrom, consistent with
Alabama) revenue bond market and investor expectations and Congressional
intent, or whether control should be shifted to the county.
3 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Rali Case U.S. Court of 10-Nov-11 Whether a narrow and identifiable group of highly sophisticated Gibson Dunn &
Appeals investors who purchased mortgage-backed securities (MBS) during a Crutcher LLP
(Second Circuit) period of more than three years, and who undoubtedly possessed
varying degrees of individualized knowledge regarding residential Robert F. Serio
mortgage origination and securitization, should be permitted to Aric H. Wu
proceed as a certified class
Harborview Case U.S. Court of 10-Nov-11 Whether a narrow and identifiable group of highly sophisticated Gibson Dunn &
Appeals investors who purchased mortgage-backed securities (MBS) during a Crutcher LLP
(Second Circuit) period of more than three years, and who undoubtedly possessed
varying degrees of individualized knowledge regarding residential Robert F. Serio
mortgage origination and securitization, should be permitted to Aric H. Wu
proceed as a certified class
Goldman Sachs v. Bayou U.S. Court of 20-Oct-11 Whether a securities broker that credits deposits to a customer’s Sidley Austin LLP
Appeals own account thereby becomes an “initial transferee” of those
(Second Circuit) deposits, such that the deposits may be voidable as fraudulent Henry F. Minnerop
transfers under the Bankruptcy Code
Assured Guaranty (UK) Ltd. New York Court of 7-Oct-11 Whether New York’s Martin Act has preemptive effect on common Wilmer Cutler
v. J.P. Morgan Investment Appeals law non-fraud tort claims, as numerous state and federal cases have Pickering Hale and
Management held. Dorr LLP
Lori A. Martin
Paul R.Q. Wolfson
Daniel S. Volchok
McReynolds v. Merrill U.S. Court of 27-Sep-11 Whether financial services firms may pay their employees on the Morgan Lewis &
Lynch Appeals (Seventh basis of objective, formulaic pay systems, notwithstanding allegations Bockius LLP
Circuit) that such systems discriminate, under Title VII, Section 703(h), of the
Civil Rights Act of 1964, as amended, with respect to the
opportunities employees have to generate the revenue used to Samuel S. Shaulson
calculate compensation. Michael S. Burkhardt
Willow Creek Capital U.S. Court of 26-Aug-11 Whether there is a private right of action under SEC Rule 10b-16 and Morgan Lewis &
Partners v. UBS Securities Appeals if so, what is the legal standard for establishing a violation of Rule Bockius LLP
(Second Circuit) 10b-16.
Michele A. Coffey
4 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Credit Suisse v. Simmonds U.S. Supreme Court 25-Aug-11 Whether the two-year statute of limitations established in Section Morrison & Foerster
16(b) of the Securities and Exchange Act of 1934, which requires LLP
statutory insiders to disgorge profits from short-swing transactions in
publicly traded issuer securities, begin to run if the targeted insider Deanne E. Maynard
has failed to comply with its obligations under Section 16(a) of the Brian R. Matsui
Act to disclose short-swing trading activity in reports filed with the Seth M. Galanter
SEC. Jordan Eth
Viking Global Equities v. U.S. Court of 3-Aug-11 Whether, in light of the U.S. Supreme Court’s decision in Morrison v. Cleary Gottlieb Steen
Porsche Appeals (Second National Australia Bank, 130 S.Ct. 2869 (2010), Section 10(b) of the & Hamilton LLP
Circuit) Exchange Act applies to security-based swap agreements referencing Giovanni P. Prezioso
shares trade on foreign exchanges merely because plaintiffs allege Meredith E. Kotler Lee
that they signed confirmations in the United States. F. Berger
Blackstone Group v. Litwin U.S. Supreme Court 1-Aug-11 Whether, contrary to established judicial and regulatory authority, a Paul, Weiss, Rifkind,
court may apply a purely qualitative, segment-by-segment analysis Wharton & Garrison
for purposes of establishing the materiality of misstatements or LLP
omissions in a securities registration statement.
Charles E. Davidow
John H. Longwell
Brad S. Karp
Susanna M. Buergel
David K. Kessler
Luther, et al. v. California Supreme 21-Jul-11 Whether class action cases which raise pure 1933 Act claims Willkie Farr &
Countrywide Financial Court (unaccompanied by state law claims) are removable under the Gallagher LLP
Corp., et al. Securities Litigation Uniform Standards Act (SLUSA), or whether state Richard
courts retain concurrent jurisdiction over such claims and they are Bernstein
non-removable.
Wilson v. Merrill Lynch U.S. Court of 8-Jul-11 What types of disclosures would, as a matter of law, preclude Paul, Hastings,
Appeals (Second plaintiff from pleading the “manipulative acts” element of a market Janofsky & Walker LLP
Circuit) manipulation claim? Would allegations that the defendant firm
manipulated ARS auctions preclude plaintiff from pleading market William F. Sullivan
efficiency for purposes of establishing the “fraud on the market” Howard Privette
presumption of reliance? What types of disclosures would rebut the Barry G. Sher
presumption of “fraud on the market” (based upon market Stephen B. Kinnaird
efficiency)? What types of disclosure would, as a matter of law, D. Scott Carlton
preclude plaintiff from pleading that he justifiably relied on an
assumption of the ARS market’s integrity?
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SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Erica P. John Fund v. U.S. Supreme Court 31-Mar-11 (1) Whether the Fifth Circuit correctly held, in direct conflict with the Paul, Weiss, Rifkind,
Halliburton Second Circuit and district courts in seven other circuits and in Wharton & Garrison
conflict with the principles of Basic Inc. v. Levinson, 485 U.S. 224 LLP
(1988), that plaintiffs in securities fraud actions must satisfy not only
the requirements set forth in Basic to trigger a rebuttable Charles E. Davidow
presumption of fraud on the market, but must also establish loss Brad S. Karp
causation at class certification by a preponderance of admissible Richard A. Rosen
evidence without merits discovery. Walter Rieman
(2) Whether the Fifth Circuit improperly considered the merits of the John H. Longwell
underlying litigation, in violation of both Eisen v. Carlise & Jacquelin,
417 U.S. 156 (1974), and Fed. R. Civ. P. 23, when it held that a
plaintiff must establish loss causation to invoke the fraud-on-the-
market presumption even though reliance and loss causation are
separate and distinct elements of securities fraud actions and even
though proof of loss causation is common to all class members.
Sewright and Diggs v. ING U.S. Court of 17-Mar-11 Whether an ERISA plan fiduciary may be sued for allowing an ERISA Crowell & Moring LLP
Groep, N.V. Appeals (Eleventh plan to offer employer stock when the plan requires it to do so. Thomas
Circuit) P. Gies
Mark A. Egert
Joel D. Wood
AFTRA Retirement Fund v. U.S. District Court 3-Mar-11 Whether, by engaging in repo financing with Sigma while holding Cadwalader,
JPMorgan Chase Bank (S.D.N.Y.) Sigma notes in plaintiffs’ accounts, the firm created a conflict with Wickersham & Taft LLP
the interests of its securities lending clients and thereby violated a
duty of loyalty owed to those clients under ERISA and the common Martin L. Seidel
law. Nathan Bull
UBS v. West Virginia U.S. Court of 1-Mar-11 Whether an ARS issuer is a “customer” of a brokerage firm, as that Sullivan & Cromwell
University Hospitals, et al. Appeals term is used in FINRA Rule 12200, such that the ARS issuer can LLP
(Second Circuit) compel the firm to arbitrate a dispute between the parties in the
FINRA arbitration forum. Robert J. Giuffra, Jr.
Brent J. McIntosh
Lehman Brothers Holdings U.S. Bankruptcy 2-Feb-11 Whether the “in connection with” language in Bankruptcy Code Mayer Brown LLP
Inc. v. JPMorgan Chase Court (SDNY) section 546(g) (the avoidance exemption for swap agreements) and 1675 Broadway
Bank the “related to” language in Bankruptcy Code section 101(53B)(A)(vi) New York, NY 10019
(definition of swap agreement) should be read narrowly so as to
exclude transfers and agreements which are not expressly provided Christopher J. Houpt
for in, or do not expressly refer to, the original transaction Joshua Cohn
documents.
6 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Microsoft v. i4i Limited U.S. Supreme Court 2-Feb-11 Whether, when a defense of patent invalidity rests on documentary Chadbourne & Parke
Partnership evidence that was not considered by the Patent and Trademark LLP
Office (PTO), the defense must be proved by clear and convincing
evidence, or whether some lesser evidentiary standard is more John A. Squires
appropriate. Dennis Hopkins
Charles M. Fish
Kate McSweeny
Wal-Mart Stores v. Dukes U.S. Supreme Court 27-Jan-11 Whether a federal court may hear a nationwide class action on behalf Orrick, Herrington &
of hundreds of thousands of female Wal-Mart employees who allege Sutcliffe LLP
that the company engaged in a pattern and practice of pay and
promotion discrimination. E. Joshua Rosenkranz
Michael Delikat
Jill L. Rosenberg
John D. Giansello
Gary R. Siniscalco
Patricia K. Gillette
Greg J. Richardson
Lauri A. Damrell
Global-Tech Appliances, et U.S. Supreme Court 6-Dec-10 Whether the legal standard for the state-of-mind element of a claim Alston & Bird LLP
al. v. SEB for actively inducing infringement under 35 U.S.C. §271(b) is 101 South Tryon Street
“deliberate indifference of a known risk” that an infringement may Suite 4000
occur, as the Court of Appeals for the Federal Circuit held, or Charlotte, NC 28280
“purposeful, culpable expression and conduct” to encourage an
infringement, as the Supreme Court held in MGM Studios, Inc. v. Michael S. Connor
Grokster, Ltd., 545 U.S. 913, 937 (2005). Benjamin F. Sidbury
Theresa Conduah
7 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
In re Theodore W. Urban Securities and 22-Nov-10 Whether and under what circumstances the duties and conduct of a Cleary Gottlieb Steen
Exchange General Counsel or other non-line supervisor in a broker-dealer’s & Hamilton LLP
Commission legal or compliance department could give rise to a duty to supervise, 2000 Pennsylvania
and what conduct and actions would satisfy such a duty. Avenue, NW
Washington, DC 20006
Giovanni P. Prezioso
Steven A. Haidar
One Liberty Plaza
New York, NY 10006
Breon S. Peace
Lisa M. Coyle
Renfro v. Unisys, et al. U.S. Court of 15-Nov-10 Whether broker-dealers who provide recordkeeping services to McDermott Will &
Appeals (Third 401(k) plans may be held to a fiduciary standard and if so, what Emery LLP
Circuit) specific conduct and level of services would satisfy such a standard. 227 West Monroe
Street
Chicago, IL 60606
Nancy G. Ross
McDermott Will &
Emory LLP
18191 Von Karman
Irvine, CA 92612
Chris C. Scheithauer
Lehman Brothers Special U.S. District Court 1-Nov-10 Whether "flip clauses" - which subordinate amounts payable to Orrick, Herrington &
Financing v. BNY Corporate (S.D.N.Y.) Lehman (in favor of collateralized debt obligation (CDO) noteholders) Sutcliffe LLP
Trustee Services on the termination of credit default swaps backing synthetic CDO's - 51 West 52nd Street
are enforceable, or whether such clauses are barred by the ipso facto New York, NY 10019
doctrine of bankruptcy Stephen J. Fink
The Orrick Building
405 Howard Street
San Francisco, CA
94105
Thomas C. Mitchell
8 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Microsoft v. i4i Limited U.S. Supreme Court 29-Sep-10 Whether, when a defense of patent invalidity rests on documentary Chadbourne & Parke
Partnership evidence that was not considered by the Patent and Trademark LLP
Office (PTO), the defense must be proved by clear and convincing 30 Rockefeller Plaza
evidence, or whether some lesser evidentiary standard is more New York, NY 10112
appropriate. John A. Squires
Janus Capital U.S. Supreme Court 10-Sep-10 Whether the Fourth Circuit erred in concluding - in direct conflict Sidley Austin LLP
with decisions of the Fifth, Sixth, and Eighth Circuits - that a service 1501 K Street, NW
provider can be held primarily liable in a private securities-fraud Washington, DC 20005
action for “help[ing]” or “participating in” another company's Carter G. Phillips
misstatements. Whether the Fourth Circuit erred in concluding - in Jonathan F. Cohn
direct conflict with decisions of the Second, Tenth, and Eleventh Daniel A. McLaughlin
Circuits - that a service provider can be held primarily liable in a Eric D. McArthur
private securities-fraud action for statements that were not directly
and contemporaneously attributed to the service provider.
Matrixx U.S. Supreme Court 27-Aug-10 Whether a plaintiff can state a claim under § 10(b) of the Securities Dewey & LeBoeuf LLP
Exchange Act and SEC Rule 10b-5 based on a pharmaceutical 1101 New York
company’s nondisclosure of adverse event reports even though the Avenue, NW
reports are not alleged to be statistically significant. Washington, DC 20005
Lyle Roberts
Jonathan E. Richman
N. Noelle Francis
Enron v. ING U.S. Court of 20-Aug-10 Whether transfers of commercial paper that settle on the DTC are Mayer Brown LLP
Appeals (Second insulated from voidable preference claims under the safe-harbor of 1675 Broadway
Circuit) section 546(e) of the Bankruptcy Code. New York, NY 10019
Christopher J. Houpt
Joshua Cohn
Goldman Sachs v. Bayou U.S. District Court 5-Aug-10 Whether a securities broker that credits deposits to a customer’s Sidley Austin LLP
(S.D.N.Y.) own account thereby becomes an “initial transferee” of those 787 Seventh Avenue
deposits, such that the deposits may be voidable as fraudulent New York, NY 10019
transfers under the Bankruptcy Code. Henry F. Minnerop
Daniel A. McLaughlin
9 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Fisher v. JPMorgan Chase U.S. Court of 4-Aug-10 Whether an ERISA plan fiduciary may be sued for allowing an ERISA Allen & Overy LLP
Appeals (Second plan to offer employer stock when the plan requires it to do so. 1221 Avenue of the
Circuit) Americas
New York, NY 10020
Pamela Rogers
Chepiga
Andrew Rhys Davies
Henry Morgenbesser
Lanier Saperstein
Kirschner v. KPMG Court of Appeals, 23-Jul-10 Whether the adverse interest exception to thein pari delicto defense Skadden, Arps, Slate,
State of New York is satisfied for pleading purposes simply by alleging that the plaintiff’s Meagher & Flom LLP
officers/directors acted solely for the purpose of enriching Four Times Square
themselves, thereby negating a third party’s ability to rely on the in New York, NY 10036
pari delicto defense at the motion to dismiss stage. Scott D. Musoff
Christos Ravanides
Barclays Capital v. U.S. Court of 22-Jul-10 Whether time-sensitive facts (the buy/sell recommendations) from a Paul, Hastings,
TheFlyOnTheWall.com Appeals (Second securities firm’s research reports are entitled to protection against Janofsky & Walker LLP
Circuit) immediate republication by news aggregators under the “hot news” 875 15th Street, NW
misappropriation doctrine. Washington, DC 20005
Stephen B. Kinnaird
Barry Sher
William F. Sullivan
Peter M. Stone
Morgan J. Miller
Gearren v. The McGraw Hill U.S. Court of 22-Jul-10 Whether an ERISA plan fiduciary may be sued for allowing an ERISA Simpson Thacher &
Companies Appeals (Second plan to offer employer stock when the plan requires it to do so. Bartlett LLP
Circuit) 425 Lexington Avenue
New York, NY 10017
Joseph M. McLaughlin
George S. Wang
Agnès Dunogué
Hiral D. Mehta
10 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
SAL Financial Services, Inc. Second District 12-Jul-10 Whether a Florida court may apply a fee multiplier to a statutory Clifford Chance US LLP
v. Gauzza Court of Appeal, award of attorneys’ fees awarded in a FINRA securities arbitration 2001 K Street, NW
State of Florida case. Washington, DC 20006
Stephen M.
Nickelsburg
Michelle Williams
Erin Louise Palmer
RBC Dominion Securities U.S. Court of 2-Jul-10 Whether a purchaser of securities can rely on the seller’s broker’s Milbank, Tweed,
Corp. v. Schneider Appeals (Second oral agreement as to the size and price of the securities to be sold as Hadley & McCloy LLP
Circuit) a binding oral agreement to sell the securities on those terms, or One Chase Manhattan
whether the purchaser is required to make a further inquiry into the Plaza
scope of their counterparties’ authority to engage in a particular New York, NY 10005
trade when dealing with a broker. Sean M. Murphy
CMMF v. J.P. Morgan Supreme Court of 30-Apr-10 Whether New York’s Martin Act has preemptive effect on common Wilmer Cutler
Investment Management / the State of New law non-fraud tort claims, as numerous state and federal cases have Pickering Hale and
Assured Guaranty (UK) v. York, Appellate held. Dorr LLP
J.P. Morgan Investment Division, First 399 Park Avenue
Management Department New York, NY 10022
Lori A. Martin
Wilmer Cutler
Pickering Hale and
Dorr LLP
1875 Pennsylvania
Avenue, NW
Washington, DC 20006
Paul R.Q. Wolfson
Daniel S. Volchok
J.P. Morgan Chase v. U.S. Supreme Court 26-Apr-10 Whether an underwriter who is tasked with approving loans, in Weil, Gotshal &
Whalen accordance with detailed guidelines provided by his employer, is an Manges LLP
administrative employee exempt from the overtime requirements of 767 Fifth Avenue
the Fair Labor Standards Act (FLSA). New York, NY 10153
Allan Dinkoff
11 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Amgen Securities Litigation U.S. Court of 2-Apr-10 Whether the fraud-on-the-market (FOTM) presumption can be met Wilmer Cutler
Appeals (Ninth at the class certification stage merely upon a showing that the stock Pickering Hale and
Circuit) at issue traded in an efficient market. Whether defendant must be Dorr
afforded an opportunity to rebut the FOTM presumption before the 1875 Pennsylvania
class is certified. Avenue, NW
Washington, DC 20005
Andrew N. Vollmer
Judith E. Coleman
Citigroup ERISA Litigation U.S. Court of 26-Mar-10 Whether an ERISA plan fiduciary may be sued for allowing an ERISA Orrick, Herrington &
Appeals (Second plan to offer employer stock when the plan requires it to do so. Sutcliffe LLP
Circuit) 666 Fifth Avenue
New York, NY 10103-
0001
Ira G. Rosenstein
Joseph Liburt
John Hancock v. U.S. U.S. Court of 10-Mar-10 Whether section 6323 of the Internal Revenue Code provides Sullivan & Cromwell
Appeals (Fifth protection for security interests held by indenture trustees on behalf LLP
Circuit) of secured creditors against later-arising tax liens on the debtor’s 125 Broad Street
property. New York, NY 1000
Bruce E. Clark
H. Rodgin Cohen
Michael M. Wiseman
Adam J. Fee
National Australia Bank U.S. Supreme Court 26-Feb-10 Whether foreign plaintiffs may sue foreign companies for foreign Cleary Gottlieb Steen
conduct under U.S. securities laws. & Hamilton LLP
One Liberty Plaza New
York, NY 10006
Deborah M. Buell
Giovanni P. Prezioso
Meredith Kotler
Lauren L. Peacock
Jorge G. Tenreiro
Suzanne B. McMillan
12 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Symbol Technologies v. Supreme Court of 6-Jan-10 Whether the adverse interest exception to the in pari delicto defense Wilmer Cutler
Deloitte & Touche the State of New is satisfied for pleading purposes simply by alleging that the plaintiff's Pickering Hale and
York, Appellate officers/directors acted solely for the purpose of enriching Dorr LLP
Division, Second themselves, thereby negating a third party's ability to rely on the in 1875 Pennsylvania
Department pari delicto defense at the motion to dismiss stage. Avenue, NW
Washington, DC 20007
Lori A. Martin
Philip D. Anker
Alyshea Austern
Broom v. Morgan Stanley Supreme Court of 29-Dec-09 Whether a court may vacate an arbitration award under Washington Greenberg Traurig,
the State of law for "error of law" or whether the court is limited to the narrower P.A.
Washington statutory grounds, and whether arbitrators are precluded under 2375 E. Camelback
Washington law from applying the state statute of limitations to state Road Suite 700
law claims brought in arbitration, such that dismissal of an arbitration Phoenix, AZ 85016
claim on this ground constitutes an error of law.
David Palzik
Greenberg Traurig,
P.A. 777 S. Flagler
Drive Suite 300 East
West Palm Beach, FL
33401
Bradford D. Kaufman
Jason M. Fedo
Whalen v. J.P. Morgan U.S. Court of 22-Dec-09 Whether an underwriter who is tasked with approving loans, in Weil, Gotshal &
Chase Appeals (Second accordance with detailed guidelines provided by his employer, is an Manges LLP
Circuit) administrative employee exempt from the overtime requirements of 767 Fifth Avenue
the Fair Labor Standards Act (FLSA). New York, NY 10153
Allan Dinkoff
Holmes v. Grubman and Supreme Court of 16-Oct-09 Whether Georgia common law recognizes fraud claims based on Skadden, Arps, Slate,
Citigroup Georgia forbearance in the sale of publicly traded securities. Meagher & Flom LLP
Four Times Square
New York, NY 10036
Jay B. Kasner
Scott D. Musoff
Jonathan Eisenberg
13 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
In re Infineon Technologies U.S. Court of 9-Sep-09 Whether foreign investors may sue a foreign issuer for foreign Wachtell, Lipton,
AG Securities Litigation Appeals (Ninth conduct under U.S. securities laws in U.S. Court. Rosen & Katz
Circuit) 51 West 52nd Street
New York, NY 10019
George T. Conway III
Jones v. Harris U.S. Supreme Court 27-Aug-09 Whether, in evaluating a Section 36(b) claim for excessive mutual Sidley Austin LLP
fund management fees, the court should examine whether the 1501 K Street, NW
services provided were reasonably worth their cost, or instead, Washington, DC 20005
whether the client made a voluntary choice ex ante with the benefit Carter G. Phillips
of adequate disclosure. Jonathan F. Cohn
James C. Owens
Sidley Austin LLP
787 Seventh Avenue
New York, NY 10019
John A. MacKinnon
Robert Pietrzak
Merck & Co. v. Reynolds U.S. Supreme Court 17-Aug-09 Whether the Third Circuit erred in holding, in accord with the Ninth Willkie Farr &
Circuit but in contrast to nine other Courts of Appeals, that under the Gallagher LLP
“inquiry notice” standard applicable to federal securities fraud claims, 1875 K Street, NW
the statute of limitations does not begin to run until an investor Washington, DC 20006
receives evidence of scienter without the benefit of any Richard D. Bernstein
investigation. Michael R. Young
Mary Eaton
Dan C. Kozusko
Frank M. Scaduto
In re Refco, Inc. Securities U.S. District Court 6-May-09 Whether junior underwriters may assert a due diligence defense Sidley Austin LLP
Litigation (S.D.N.Y.) when they relied upon senior underwriters to perform due diligence. 787 Seventh Avenue
New York, NY 10019
Joseph McLaughlin
Jonathan F. Cohn
Daniel A. McLaughlin
Patricia C. Fratto
14 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
In re Healthsouth U.S. Court of 24-Apr-09 Whether the fraud on the market presumption of class-wide reliance Shearman & Sterling
Corporation Securities Appeals (Eleventh is available to a class of stockholders asserting Section 10(b) claims LLP
Litigation Circuit) against an initial purchaser in a Rule 144A private placement of the 599 Lexington Avenue
issuer’s debt securities, based on the theory that the initial purchaser New York, New York
– by having its name on the cover of the confidential private 10022
placement offering materials and by participating in the private Herbert S. Washer
placement – made an implied statement to the investing public at Daniel C. Lewis
large, implicitly “endorsing” the issuer’s financial statements.
SEC v. Tambone U.S. Court of 24-Apr-09 Whether underwriters and their employees may be held primarily Sidley Austin LLP
Appeals (First liable under Section 10(b) of the Exchange Act and Rule 10b-5 for 1501 K Street, NW
Circuit) false statements in a mutual fund prospectus, regardless of whether Washington, DC 20005
they ever made statements in the prospectus within the meaning of Carter G. Phillips
Rule10b-5(b). Jonathan F. Cohn
Daniel A. McLaughlin
Eric D. McArthur
Capital One Bank v. U.S. Supreme Court 17-Apr-09 Whether a State may impose income tax on a bank with no physical Sullivan & Cromwell
Comm’r of Revenue presence in that State. LLP
125 Broad Street
New York, NY 10004
Richard Urowsky
15 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Schachter v. Citigroup Supreme Court of 15-Jan-09 Whether the forfeiture provisions in Citi’s voluntary incentive Morgan, Lewis &
the State of compensation plan – which gives employees the option of using a Bockius LLP
California portion of their earnings to purchase shares in the company’s stock 101 Park Avenue
below market price, but which provides that employees forfeit both New York, NY 10178
the stock and the money used to purchase it if they resign or are Sam S. Shaulson
terminated for cause within a two-year period – violate the California Morgan, Lewis &
Labor Code’s requirement that an employer pay an employee all Bockius LLP
earned wages at the time the employee ceases employment. One Market, Spear
Tower
San Francisco, CA
94105
Thomas M. Peterson
Morgan, Lewis &
Bockius LLP
5 Park Plaza, Suite
1750
Irvine, CA 92612
Broom v. Morgan Stanley Supreme Court of 1-Dec-08 Whether a court may vacate an arbitration award under Washington Greenberg Traurig,
the State of law for “error of law” or whether the court is limited to the narrower P.A.
Washington statutory grounds, and whether arbitrators are precluded under 777 S. Flagler Drive
Washington law from applying the state statute of limitations to state Suite 300 East
law claims brought in arbitration, such that dismissal of an arbitration West Palm Beach, FL
claim on this ground constitutes an error of law. 33401
David Paltzik
Bradford D. Kaufman
Jason M. Fedo
Gredd v. Bear Stearns U.S. Court of 19-Nov-08 Whether a securities broker that credits deposits to a customer’s Pepper Hamilton LLP
Appeals (Second own account thereby becomes an “initial transferee” of those Hamilton Square
Circuit) deposits, such that the deposits may be voidable as fraudulent 600 Fourteenth Street,
transfers under the Bankruptcy Code. N.W.
Washington, DC 20005
Ivan B. Knauer
16 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
SIFMA Reply Brief 9-Sep-08 Whether Section 17(a) of the Securities Act of 1933 and Section 10(b) Cabaniss, Johnston,
of the Securities Exchange Act of 1934 apply to interest rate swap Gardner, Dumas &
transactions under which payments are based on the SIFMA O’Neal LLP
Municipal Swap Index. 2001 Park Place, North
Suite 700
Birmingham, AL 35203
Crawford S.
McGivaren, Jr.
Securities and Exchange U.S. District Court 7-Aug-08 Whether Section 17(a) of the Securities Act of 1933 and Section 10(b) Cadwalader
Commission v. Langford, et (N.D. Alabama) of the Securities Exchange Act of 1934 apply to interest rate swap Wickensham & Taft
al. transactions under which payments are based on the SIFMA One World Financial
Municipal Swap Index. Center
New York, NY 10287
Jonathan M. Hoff
Lary Stromfeld
Maurine Bartlett
Tom M. Fini
CSX Corporation v. The U.S. Court of 18-Jul-08 Whether defendants had beneficial ownership, within the meaning of Cleary Gottlieb Steen
Children’s Investment Fund Appeals (Second Reg. 13D, of the CSX shares held by their cash- settled total return & Hamilton LLP
Circuit) equity swap counterparties. One Liberty Plaza
New York, NY 10006
David M. Becker
Edward J. Rosen
Michael D. Dayan
Joon H. Kim
Shiwon Choe
Luther v. Countrywide U.S. Court of 13-Jun-08 Whether the Class Action Fairness Act of 2005 (CAFA) permits Willkie Farr &
Home Loans Servicing, LP Appeals (Ninth removal to federal court of a case brought under Section 11 of the Gallagher LLP
Circuit) Securities Act of 1933, even though the Securities Uniform Standards 787 Seventh Avenue
Act (SLUSA) does not, because of the nature/type of the securities New York, NY 10019
involved. John R. Oller
David M. Stolzfus
Willkie Farr &
Gallagher LLP
1875 K Street, NW
Washington, DC 20006
Richard D. Bernstein
17 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
CSX Corporation v. The U.S. District Court 2-Jun-08 Whether defendants had beneficial ownership, within the meaning of Cleary Gottlieb Steen
Children’s Investment Fund (S.D.N.Y.) Reg. 13D, of the CSX shares held by their cash- settled total return & Hamilton LLP
equity swap counterparties. One Liberty Plaza
New York, NY 10006
David M. Becker
Edward J. Rosen
Michael D. Dayan
Central Laborers Pension U.S. Court of 30-May-08 Whether and under what circumstances a claim under Section 11 of Dewey & LeBoeuf LLP
Fund v. Merix Corporation Appeals (Ninth the Securities Act of 1933 is subject to the heightened pleading 333 South Grand
Circuit) requirements of Fed. R. Civ. P. 9(b). Avenue
Los Angeles, CA 90071
John E. Schreiber
Dewey & LeBoeuf LLP
1101 New York
Avenue, NW
Washington, DC 20005
Lyle Roberts
Brown v. Wells Fargo Court of Appeal of 22-May-08 Whether Wells Fargo entered into a fiduciary relationship with their Munger, Tolles &
the State of customer; whether Wells Fargo breached their alleged fiduciary duty Olson LLP
California, Second by failing to advise the customer about a standard arbitration clause 355 South Grand
Appellate District in the brokerage agreement; and whether the standard securities Avenue
industry arbitration clause is unconscionable. 35th Floor
Los Angeles, CA 90071
George M. Garvey
Jeffrey Y. Wu
Safron Capital Corp. v. U.S. Court of 15-May-08 Whether and under what circumstances a claim under Section 11 of Dewey & LeBoeuf LLP
Leadis Technology Appeals (Ninth the Securities Act of 1933 is subject to the heightened pleading 333 South Grand
Circuit) requirements of Fed. R. Civ. P. 9(b). Avenue
Los Angeles, CA 90071
John E. Schreiber
Dewey & LeBoeuf LLP
1101 New York
Avenue, NW
Washington, DC 20005
Lyle Roberts
18 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
In re Enron Creditors U.S. Bankruptcy 6-May-08 Whether Enron may avoid and recover, as preferences or fraudulent Allen & Overy LLP
Recovery Corp. Court (S.D. NY) conveyances, various pre-petition payments made by Enron in 1221 Avenue of the
connection with the repurchase, prior to maturity, of certain of Americas
Enron’s outstanding commercial paper in the period preceding New York, NY 10020
Enron’s voluntary petition for relief under Chapter 11 of the Joshua Cohn
Bankruptcy Code.
In re Bear Stearns Litigation Supreme Court of 5-May-08 Whether an injunction designed to prevent the merger of JP Morgan Willkie Farr &
the State of New and Bear Stearns would harm the public interest because a collapse Gallagher LLP
York, County of New of Bear Stearns would have severe negative consequences for the 787 Seventh Avenue
York nation’s financial markets and the economy as a whole. New York, NY 10019
Tariq Mundiya
Benjamin P. McCallen
Willkie Farr &
Gallagher LLP
1875 K Street, NW
Washington, DC 20006
Richard D. Bernstein
Massachusetts v. Fremont Appeals Court, 26-Mar-08 Whether subprime adjustable rate mortgage loans whose financing Thacher Proffitt &
Commonwealth of terms and conditions, documentation, disclosure, securitization, and Wood LLP
Massachusetts sale were all plainly permitted under state and federal law may Two World Financial
nevertheless be found to be violative of a Massachusetts consumer Center
protection statute. New York, NY 10281
Richard F. Hans
John P. Doherty
Neil T. Bloomfield
Pachter v. Bernard Hodes Court of Appeals, 7-Mar-08 Whether, in the absence of a governing agreement, commissions are Morgan, Lewis &
Group State of New York “earned” and therefore considered “wages” under sections 191 and Bockius LLP
193, thereby rendering most subsequent deductions unlawful. 101 Park Avenue
New York, NY 10178
Samuel S. Shaulson
19 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
American Isuzu Motors v. U.S. Supreme Court 11-Feb-08 Whether financial services firms, by engaging in their ordinary Simpson Thacher &
Ntsebeza, Digwamaje, business in South Africa, in a manner consistent with applicable law Bartlett LLP
Khulamani, et al. and encouraged by their home countries pursuant to policies of 425 Lexington Avenue
constructive economic engagement, aided and abetted the apartheid New York, NY 11215
regime in violation of the Alien Tort Statute. Thomas C. Rice
Mary Elizabeth
McGarry
Agnes Dunogue
U.S. v. Stein U.S. Court of 22-Jan-08 Whether the Department of Justice’s now-repudiated policy of taking Clifford Chance US LLP
Appeals (Second a firm’s advancement of attorneys’ fees into account in deciding 31 West 52nd Street
Circuit) whether the firm adequately cooperated with a criminal investigation New York, NY 10019
wrongfully interfered with employees’ lawful access to independent
legal advice, and improperly undermined employers’ well-established Mark A. Kirsch
right to advance fees to individuals who face legal jeopardy as a Kara Morrow
result of doing their jobs. Tamar Bruger
Clifford Chance US LLP
2001 K Street NW
Washington, DC 20006
Stephen M.
Nickelsburg
American Home Mortgage U.S. Bankruptcy 12-Oct-07 Whether and the extent to which a mortgage loan master repurchase Teitelbaum & Baskin,
v. CSFB Court (D. Del.) agreement, inclusive of the mortgage servicing provisions, is a LLP
“repurchase agreement” as defined in §101(47) of the Bankruptcy 3 Barker Avenue
Code and therefore, covered by the safe harbor provisions of Third Floor
Bankruptcy Code §559. White Plains, NY
10601
Jay Teitelbaum
Ron Baskin
20 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Appendix A to Motion
Strand v. Escambia County, FL / Florida Supreme 17-Sep-07 Whether bonds payable through tax increment financing (TIFs), and Edwards Angell Palmer
Court certain other obligations payable from ad valorem taxes, such as & Dodge LLP One
certificates of participation (COPs), are subject to the referendum North Clematis Street
requirements of article VII, section 12, of Florida’s Constitution. Suite 400
West Palm Beach, FL
33401
Elaine Johnson James
Richard J. Miller
Mark-David Adams
Christine Senne
Stoneridge v. Scientific U.S. Supreme Court 15-Aug-07 Whether conduct by secondary actors may give rise to primary O’Melveny & Myers
–Atlanta and Motorola liability under Section 10(b) of the 1934 Act and Rule 10b-5 under a LLP
“scheme to defraud” liability theory. 1625 Eye Street, N.W.
Washington, DC 20006
Walter Dellinger
O’Melveny & Myers
LLP
7 Times Square
New York, NY 10036
Jonathan Rosenberg
William J. Sushon
B. Andrew Bednark
In re Musicland U.S. Bankruptcy 7-Aug-07 Whether Rule 2019(a) of the Federal Rules of Bankruptcy Procedure Wilmer Cutler
Court (S.D. NY) applies to the members of ad hoc committees, who represent only Pickering Hale and
their own interests and who are not fiduciaries for other Dorr LLP
stakeholders, such that they would be forced to disclose highly 399 Park Avenue
confidential and proprietary information. New York, NY 10022
Andrew N. Goldman
James H. Millar
21 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Kentucky v. Davis U.S. Supreme Court 19-Jul-07 Whether Kentucky’s income tax scheme violates the Commerce Sidley Austin LLP
Clause of the U.S. Constitution because it exempts from tax the 1501 K Street, NW
interest earned by its residents on in-state municipal bonds, but taxes Washington, DC 20005
the interest earned by its residents on out-of-state municipal bonds. Carter Phillips
Richard D. Bernstein
Sidley Austin LLP
787 Seventh Avenue
New York, NY 10019
A. Robert Pietrzak
Nicholas P. Crowell
Daniel A. McLaughlin
Catherine B. Winter
UBS Financial Services and Supreme Court of 16-Jul-07 Whether NASD arbitrators have power to recommend expungement Bingham McCutchen
Kurrasch v. Gibson the State of New of CRD records pursuant to NASD Rule 2130 in light of the State of LLP
York, County of New New York’s alleged property interest in those records, and state 2020 K Street, NW
York recordkeeping regulations. Washington, DC 20006
Paul J. Lambert
Marie K.N. DeBonis
National Australia Bank U.S. Court of 12-Jul-07 Whether foreign plaintiffs may sue foreign companies for foreign Cleary Gottlieb Steen
Appeals (Second conduct under U.S. securities laws. & Hamilton LLP
Circuit) One Liberty Plaza
New York, NY 10006
Deborah M. Buell
Giovanni P. Prezioso
Andrew A. Bernstein
David H. Herrington
Anna A. Makanju
Mary Ellen Kay v. Loretta Supreme Court of 13-Jun-07 Whether NASD arbitrators have power to recommend expungement Bingham McCutchen
Abrams the State of New of CRD records pursuant to NASD Rule 2130 in light of the State of LLP
York, County of New New York’s alleged property interest in those records, and state 2020 K Street, NW
York recordkeeping regulations. Washington, DC 20006
Paul J. Lambert
Marie K.N. DeBonis
22 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
In re Le-Nature’s Inc. U.S. Bankruptcy 12-Jun-07 Whether Rule 2019(a) of the Federal Rules of Bankruptcy Procedure Wilmer Cutler
Court (W.D.PA) applies to the members of ad hoc committees, who represent only Pickering Hale and
their own interests and who are not fiduciaries for other Dorr LLP
stakeholders, such that they would be forced to disclose highly 399 Park Avenue
confidential and proprietary information. New York, NY 10022
Andrew N. Goldman
James H. Millar
Michael Snyder
FIA Card Services, fka U.S. Supreme Court 8-May-07 Whether West Virginia may impose income and franchise taxes on a Sullivan & Cromwell
MBNA America Bank v. Tax bank with no physical presence in West Virginia. LLP
Commissioner of the State 125 Broad Street
of West Virginia New York, NY 10004
Richard J. Urowsky
Gredd v. Bear, Stearns U.S. District Court 7-May-07 Whether deposits into a customer’s own account with a securities Dickstein Shapiro LLP
Securities Corp. (S.D.N.Y.) broker are voidable under the Bankruptcy Code as fraudulent 1825 Eye Street, NW
transfers, and whether a financial institution that credits deposits to Washington, DC 20006
an accountholder thereby becomes an “initial transferee” of those Howard Schiffman
deposits. Eric A. Bensky
In re Scotia Pacific U.S. Bankruptcy 9-Apr-07 Whether Rule 2019(a) of the Federal Rules of Bankruptcy Procedure Milbank, Tweed,
Court (S.D. TX) applies to the members of ad hoc committees, who represent only Hadley & McCloy LLP
their own interests and who are not fiduciaries for other 1 Chase Manhattan
stakeholders, such that they would be forced to disclose highly Plaza
confidential and proprietary information. New York, NY 10005
Matthew S. Barr
Peter K. Newman
Ohio v. New Century Court of Common 28-Mar-07 Whether an injunction imposed by a State on a finance company may Squire, Sanders &
Financial Pleas, Cuyahoga include provisions that restrict or delay the company's ability to Dempsey L.L.P.
County, Ohio service and foreclose on delinquent mortgage loans or create an 4900 Key Tower
administrative oversight function pursuant to which the State or its 127 Public Square
designee will assist in determining whether, when and how Cleveland, OH 44114
delinquent loans will be serviced and foreclosed. Martha S. Sullivan
Heather L. Tonsing
23 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
In re Seagate Technology, U.S. Court of 21-Mar-07 Whether, once notice arises of another’s patent rights, an accused Dilworth Paxson LLP
LLC Appeals (Federal infringer should bear the burden and cost to retain a competent legal 3200 Mellon Bank
Circuit) opinion to provide a basis for reasonable reliance on the advice of Center
counsel as a defense to willful patent infringement. 1735 Market Street
Philadelphia PA 19103
Thomas S. Beimer
Philip J. Foret
Hadacheck v. UBS U.S. Court of 20-Mar-07 Whether the Federal Arbitration Act permits state law to hold Munger, Tolles &
Appeals (Ninth unenforceable an otherwise-valid arbitration agreement simply Olson LLP
Circuit) because one party did not specifically call the arbitration clause to 355 S. Grand Avenue,
the other’s attention. 35th Floor Los Angeles,
CA 90071
George M. Garvey
Daniel L. Geyser
In re Northwest Airlines U.S. Bankruptcy 15-Mar-07 Whether Rule 2019(a) of the Federal Rules of Bankruptcy Procedure Milbank, Tweed,
Court (S.D. NY) requires members of ad hoc committees and other entities acting as Hadley & McCloy LLP
groups in Chapter 11 cases to file with the court a verified statement 1 Chase Manhattan
disclosing, among other things, “the amounts of claims or interest Plaza
owned by…the members of the committee…the times when New York, NY 10005
acquired, the amounts paid therefore, and any sales or other Matthew S. Barr
dispositions thereof.” Peter K. Newman
In re Enron Corp. U.S. District Court 12-Mar-07 Whether equitable subordination under Section 510(c) and Wilmer Cutler
(S.D.N.Y.) disallowance under Section 502(d) can be applied, as a matter of law, Pickering Hale and
to claims held by a transferee to the same extent they would be Dorr LLP
applied if such claims were still held by the transferor. 1875 Pennsylvania
Avenue, NW
Washington, DC 20006
Seth P. Waxman
Louis R. Cohen
Craig Goldblatt
Joel Millar
Amy Oberdorfer
Nyberg
399 Park Ave
New York, NY 10022
James H. Millar
24 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Millowitz v. Citigroup U.S. Court of 30-Jan-07 Whether the rationale for applying the “fraud on the market” Mayer, Brown, Rowe
Global Markets Appeals (Second doctrine to issuer misstatements also applies to research analyst & Maw LLP
Circuit) reports, and whether the Court should extend the Basic v. Levinson , 1909 K Street, NW
485 U.S. 228 (1988), presumption of reliance to research analyst Washington, DC 20006
reports, thereby subjecting research analysts and their firms to suits Andrew J. Pincus
by large classes of investors, many of whom may not have been Miriam R. Nemetz
aware of the analyst’s opinions.
71 South Wacker Drive
Chicago, IL 60606
Stephen M. Shapiro
Timothy S. Bishop
Teamsters Local 445 v. U.S. Court of 17-Jan-07 Whether plaintiffs bringing claims for securities fraud may allege Sidley Austin LLP
Dynex Capital Appeals (Second scienter on the part of a corporate defendant (corporate/collective 1501 K Street, NW
Circuit) scienter) without pleading scienter against any particular employee, Washington, DC 20005
where management made public statements contradicted by facts Carter G. Phillips
known only to lower-level employees. Richard D. Bernstein
787 Seventh Avenue
New York, NY 10019
A. Robert Pietrzak
Daniel A. McLaughlin
Regents of the University of U.S. Court of 13-Dec-06 Whether conduct by secondary actors may give rise to primary Irell & Manella LLP
California v. Credit Suisse Appeals (Fifth liability under Section 10(b) of the 1934 Act and Rule 10b-5 1800 Avenue of the
First Boston Circuit) thereunder. Stars
Suite 900
Los Angeles, CA 90067
David Siegel
Laura W. Brill
Jonathan P. Steinsapir
Rosenberg v. Metlife Court of Appeals, 7-Dec-06 Whether a firm that files a Form U5 enjoys absolute or qualified Orrick, Herrington &
State of New York immunity from defamation suits arising out of statements made on Sutcliffe LLP
the form. 666 Fifth Ave.
New York, NY 10103
Michael Delikat
Robert S. Whitman
25 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Tellabs v. Makor Issues & U.S. Supreme Court 6-Dec-06 Whether the 7th Circuit’s “could infer” test satisfies the Private Mayer, Brown, Rowe
Rights Securities Litigation Reform Act’s heightened pleading standard & Maw LLP
which requires plaintiffs bringing claims for securities fraud to plead 71 South Wacker Drive
“with particularity” facts that give rise to a “strong inference” of Chicago, IL 60606
scienter. Stephen M. Shapiro
Timothy S. Bishop
Mayer, Brown, Rowe
& Maw LLP
700 Louisiana Street
Houston, TX 77002
J. Brett Busby
In re Enron Corp. Securities, U.S. Court of 26-Jul-06 Whether an implied cause of action exist under Section 10(b) and Irell & Manella LLP
Derivative and ERISA Appeals (Fifth Rule 10b-5 against a secondary actor such as a bank, which has made 1800 Avenue of the
litigation Circuit) no misrepresentations and has no duty of public disclosure, on the Stars Suite 900
purported ground that such secondary actors engaged in transactions Los Angeles, CA 90067
with an issuer of securities, which the issuer later misreported. David Siegel
Laura W. Brill
Financial Security U.S. Court of 21-Jun-06 Whether a financial guaranty insurer has standing to assert a claim Morgan, Lewis &
Assurance v. Stephens Appeals (Eleventh under Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C Bockius LLP
Circuit) §78j(b) and Rule 10b-5, 17 C.F.R. §240.10b-5, as a “purchaser” of the 101 Park Avenue
bonds it has insured. New York, NY 10178
John M. Vassos
Jeffrey D. Brooks
United States v. Stein / U.S. District Court 4-May-06 Whether the Department of Justice Internal Policy Guidelines for Wilmer Cutler
Supplemental Brief (S.D.N.Y.) charging corporations (the “Thompson Memorandum”), which treats Pickering Hale and
“a corporation’s promise of support to culpable employees and Dorr LLP
agents … through the advancing of attorneys fees” as a potential 1875 Pennsylvania
basis for finding that the corporation itself has failed to “cooperat[e]” Avenue, NW
with a government investigation, violates key criminal justice Washington DC 20006
principles, and threatens the integrity of the employment Howard M. Shapiro
relationship and efficient corporate operations. William R. McLucas
Johnathan E.
Nuechterlein
Christopher Davies
26 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Credit Suisse v. Billing U.S. Supreme Court 16-Apr-06 Whether federal antitrust laws are impliedly repealed as to the Robbins, Russell,
conduct of underwriters in initial public offerings (IPOs) such that Englert, Orseck &
underwriters are immune from lawsuits brought under the federal Untereiner LLP
antitrust laws involving the pricing of IPOs. 1801 K Street, NW
Suite 411
Washington DC 20006
Roy T. Englert Jr.
Gary A. Orseck
Daniel R. Walfish
Matthew R. Segal
Kircher v. Putnam Funds U.S. Supreme Court 28-Mar-06 Whether the court of appeals properly exercised appellate Sidley Austin LLP
jurisdiction to review the district court’s remand order, when the 1501 K Street, NW
remand order was the result of a substantive decision rejecting a Washington DC 20005
federal statutory preemption defense to certain securities fraud class Carter G. Phillips
actions available under the Securities Litigation Uniform Standards Richard D. Bernstein
Act of 1998 (SLUSA). Ruthanne M. Deutsch
eBay and Half.com v. U.S. Supreme Court 26-Jan-06 Whether the Federal Circuit erred in setting forth a general rule in Bingham McCutchen
MercExchange patent cases that a district court must issue a permanent injunction LLP
upon a finding of infringement, absent exceptional circumstances. Three Embarcadero
Center
San Francisco, CA
94111
W. Hardy Callcott
Monty Agarwal
Todd Pickles
In re Enron Corp. U.S. Bankruptcy 19-Jan-06 Whether, under Section 510(c) of the Bankruptcy Code, a court may Wilmer Cutler
Court (S.D. NY) subordinate the claim of an innocent purchaser of a bankruptcy claim Pickering Hale and
for value and without notice of any wrongdoing by a previous holder, Dorr LLP
if the seller or previous holder committed an unrelated bad act 2445 M Street, NW
against the debtor or its creditors. Washington, DC 20037
Louis R. Cohen
Craig Goldblatt
Wilmer Cutler
Pickering Hale and
Dorr LLP
399 Park Avenue
New York, NY 10022
James H. Millar
27 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Quaak v. Dexia U.S. Court of 11-Jan-06 Whether conduct by secondary actors may give rise to primary Sullivan & Cromwell
Appeals (First liability under Section 10(b) and Rule 10b-5 after the Supreme Court’s LLP
Circuit) decision in Central Bank of Denver v. First Interstate Bank of Denver , 125 Broad Street
511 U.S. 164 (1994). New York, NY 10004
David H. Braff
Michael T. Tomaino,
Jr.
Jeffrey T. Scott
Superadio v. Walt “Baby” Commonwealth of 30-Nov-05 Whether a lawyer licensed to practice and in good standing in Bingham McCutchen
Love Productions Massachusetts, another U.S. jurisdiction engages in the unauthorized practice of law LLP
Supreme Judicial by appearing in arbitration proceedings held in Massachusetts. 150 Federal Street
Court Boston, MA 02110
Timothy P. Burke
Matthew C.
Applebaum
Pierce County v. State of Supreme Court of 17-Nov-05 Whether Initiative No. I-776, which repealed certain taxes and fees Koegen Edwards LLP
Washington the State of that were pledged as security to repay municipal bonds, violates 1001 Fourth Avenue
Washington Article I, Section 23, of the Washington State Constitution as it Suite 2580
applies to those municipal bonds. Seattle, WA 98154
Roy J. Koegan
Mary J. Edwards
Rodney J. Wendt
Merrill Lynch v. Dabit U.S. Supreme Court 14-Nov-05 Whether the preemption provision of the Securities Litigation Sidley Austin Brown &
Uniform Standards Act (SLUSA), which bars class actions based upon Wood LLP
state law that allege “a misrepresentation or omission of a material 1501 K Street, NW
fact in connection with the purchase or sale of a covered security,” Washington DC 20005
applies to securities class actions by persons who allege they held Carter G. Phillips
securities in reliance upon a misrepresentation or omission about a Richard D. Bernstein
covered security. April E. Fearnley
Enron Corp. v. UBS U.S. Bankruptcy 23-Sep-05 Whether certain pre-petition payments made in connection with Wilmer Cutler
Court (S.D. NY) certain over-the-counter equity derivatives transactions may be Pickering Hale and
avoided and recovered, as preferences and/or fraudulent Dorr LLP
conveyances, consistent with the safe harbor provisions set forth in 2445 M Street, NW
Sections 546(e) and (g) of the Bankruptcy Code. Washington, DC 20037
William J. Perlstein
Craig Goldblatt
Johnathan E. Paikin
Caroline Rogus
28 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Enron Corp. v. Credit Suisse U.S. Bankruptcy 21-Sep-05 Whether certain pre-petition payments made in connection with Wilmer Cutler
First Boston Court (S.D. NY) certain over-the-counter equity derivatives transactions may be Pickering Hale and
avoided and recovered, as preferences and/or fraudulent Dorr LLP
conveyances, consistent with the safe harbor provisions set forth in 2445 M Street, NW
Sections 546(e) and (g) of the Bankruptcy Code. Washington, DC 20037
William J. Perlstein
Craig Goldblatt
Johnathan E. Paikin
Caroline Rogus
Enron Corp. v. Lehman U.S. Bankruptcy 21-Sep-05 Whether certain pre-petition payments made in connection with Wilmer Cutler
Brothers Court (S.D. NY) certain over-the-counter equity derivatives transactions may be Pickering Hale and
avoided and recovered, as preferences and/or fraudulent Dorr LLP
conveyances, consistent with the safe harbor provisions set forth in 2445 M Street, NW
Sections 546(e) and (g) of the Bankruptcy Code. Washington, DC 20037
William J. Perlstein
Craig Goldblatt
Johnathan E. Paikin
Caroline Rogus
Enron Corp. v. Bear Stearns U.S. Bankruptcy 5-Jul-05 Whether pre-petition payments made in connection with certain Wilmer Cutler
Court (S.D. NY) over-the-counter equity derivatives transactions may be avoided and Pickering Hale and
recovered, as preferences and/or fraudulent conveyances, consistent Dorr LLP
with the safe harbor provisions set forth in Sections 546(e) and (g) of 2445 M Street, NW
the Bankruptcy Code. Washington DC 20037
William J. Perlstein
Craig Goldblatt
Johnathan E. Paikin
Caroline Rogus
Merrill Lynch v. Dabit U.S. Supreme Court 16-May-05 Whether the preemption provision of the Securities Litigation Sidley Austin Brown &
Uniform Standards Act (SLUSA) applies to state-law class actions by Wood LLP
securities holders who claim that they refrained from selling 1501 K Street, NW
securities in reliance on a misrepresentation. Washington, DC 20005
Carter G. Phillips
Richard D. Bernstein
April E. Fearnley
Demarco v. Robertson U.S. Court of 15-Feb-05 Whether plaintiffs satisfied the class action certification standard in a Mayer, Brown, Rowe
Stephens Appeals (Second research analyst case. & Maw LLP
Circuit) 190 S. Lasalle Street
Chicago, IL 60603
Stephen M. Shapiro
Timothy S. Bishop
29 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Simpson v. Homestore.com U.S. Court of 21-Dec-04 Whether conduct by secondary actors may give rise to primary Sullivan & Cromwell
Appeals (Ninth liability under Section 10(b) and Rule 10b-5 after the Supreme Court’s LLP 125 Broad
Circuit) decision in Central Bank of Denver v. First Interstate Bank of Denver , Street
511 U.S. 164 (1994). New York, NY 10004
David H. Braff
In re Worldcom Securities U.S. District Court 1-Oct-04 Whether an underwriter should be required to perform the same due Davis Polk & Wardwell
Litigation (S.D.N.Y.) diligence for a shelf offering as it would for an offering involving a pre- 450 Lexington Avenue
effective waiting period. New York, NY 10017
Robert F. Wise, Jr.
Dura Pharmaceuticals v. U.S. Supreme Court 13-Sep-04 Whether a plaintiff bringing a civil claim under Section 10(b) of the Sidley Austin Brown &
Broudo Securities Exchange Act of 1934 and SEC Rule 10b-5 need only allege Wood LLP
and show that he paid an inflated price for the security because of a 1501 K Street, NW
misrepresentation, or must also allege and show that revelation of Washington, DC 20005
the misrepresentation or omission caused a decline in price. Carter G. Phillips
Richard D. Bernstein
Jacqueline G. Cooper
Richard H. Menard Jr.
American Bankers U.S. Court of 9-Aug-04 Whether the provisions of California’s Financial Information Privacy Alston & Bird LLP
Association v. Lockyer Appeals (Ninth Act that regulate the sharing of information with affiliates are 601 Pennsylvania Ave.,
Circuit) preempted by the federal Fair Credit Reporting Act and its 2003 NW Washington, DC
amendments. 20004
Thomas M. Boyd
Jonathan V. Gould
Alston & Bird LLP
1201 W. Peachtree St.
Atlanta, GA 30309
William H. Jordan
Matthew D.
Richardson
30 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Jevne v. Superior Court of Supreme Court of 21-Jul-04 Whether California’s arbitration standards are preempted by federal Munger, Tolles &
Los Angeles County the State of law. Olson LLP Munger,
California Tolles & Olson LLP
355 South Grand Ave.,
35 th Fl.
Los Angeles, CA 90071-
1560
Marc T.G. Dworsky
Paul J. Watford
Anne M. Voigts
EBCI, f/k/a eToys v. Court of Appeals, 9-Jul-04 Whether an underwriter owes a fiduciary duty to an issuer with Cleary, Gottlieb, Steen
Goldman Sachs State of New York respect to the price of an initial public offering (IPO). & Hamilton Cleary,
Gottlieb, Steen &
Hamilton
One Liberty Plaza
New York, NY 10006
Mitchell A. Lowenthal
Lewis J. Liman
David H. Herrington
Nancy I. Ruskin
Stuart N. Mast
Amy Chung
EBCI, f/k/a eToys. v. Supreme Court of 9-Jul-04 Whether an underwriter owes a fiduciary duty to an issuer with Cleary, Gottlieb, Steen
Goldman Sachs the State of New respect to the price of an initial public offering (IPO). & Hamilton Cleary,
York, Appellate Gottlieb, Steen &
Division Hamilton
One Liberty Plaza
New York, NY 10006
Mitchell A. Lowenthal
Lewis J. Liman
David H. Herrington
Nancy I. Ruskin
Stuart N. Mast
Amy Chung
Royal Indemnity Company U.S. Court of 2-Jun-04 Whether Royal Indemnity Company failed to honor its payment Sidley Austin Brown &
v. MBIA Insurance Appeals (Third obligations in a timely manner under certain insurance policies that it Wood LLP
Circuit) issued insuring the payment of principal and interest in the event of a 10 S. Dearborn Street
default on certain, specified student loans. Chicago, IL 60603
Robert D. Aicher
T.K. Khan
31 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Hevesi v. Citigroup U.S. Court of 23-Mar-04 Whether plaintiffs satisfied the class action certification standard in a Mayer, Brown, Rowe
Appeals (Second research analyst case. & Maw LLP
Circuit) 190 S. LaSalle Street
Chicago, IL 60603
Stephen M. Shapiro
Timothy S. Bishop
In re Enron Corp. U.S. Bankruptcy 17-Mar-04 Whether payment made under over-the-counter (OTC) equity Wilmer Cutler
Court (S.D. NY) derivatives contracts are protected by Sections 546(e) and (g) of the Pickering LLP
Bankruptcy Code from preference and fraudulent conveyance 2445 M Street, NW
actions. Washington, DC 20037
William J. Perlstein
Craig Goldblatt
Jonathan E. Paikin
Caroline Rogus
In re Enron Corp. U.S. Bankruptcy 17-Mar-04 Whether Enron’s repurchase of its commercial paper qualifies as Allen & Overy
Court (S.D. NY) protected settlement payments that fall within the safe harbor 1221 Avenue of the
provisions of the Bankruptcy Code. Americas
New York, NY 10020
Daniel P. Cunningham
Hugh McDonald
Joshua D. Cohn
Richard S. Malish
California Public U.S. Court of 12-Feb-04 Whether claims under the Securities Act of 1933 can be removed to Cleary, Gottlieb, Steen
Employees’ Retirement Appeals (Second federal court under 28 U.S.C. § 1452, the bankruptcy removal statute. & Hamilton
System v. Bobbitt Circuit) One Liberty Plaza
New York, NY 10006
Lewis J. Liman
Thomas J. Moloney
David H. Herrington
Katherine J. Roberts
Dura Pharmaceuticals v. U.S. Supreme Court 4-Feb-04 Whether the Ninth Circuit applied the proper test for establishing Sidley Austin Brown &
Broudo “loss causation” in a securities fraud case. Wood LLP
1501 K Street, NW
Washington, DC 20005
Carter G. Phillips
Richard D. Bernstein
Jacqueline G. Cooper
32 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
United States v. McCall U.S. Court of 30-Jan-04 Whether a party may cooperate with a government investigation by Latham & Watkins LLP
Appeals (Ninth voluntarily disclosing work product without waiving the privilege as 633 W. Fifth Street,
Circuit) to other third parties under the “selective waiver doctrine.” Suite 4000
Los Angeles, CA 90071
James J. Farrell
Robert K. Lu
Laurie B. Smilan
David M Brodsky
McKesson HBOC v. The Court of Appeal for 17-Nov-03 Whether a company may cooperate with a government investigation Latham & Watkins LLP
Superior Court of San the State of without risking waiver of the work product privilege as to other third 633 W. Fifth Street,
Francisco County California parties under the “selective waiver doctrine.” Suite 4000
Lost Angeles, CA
90071
James J. Farrell
Robert K. Lu
Houman B. Shadab
Laurie B. Smilan
David M. Brodsky
Knorr-Bremse Systeme Fuer U.S. Court of 3-Nov-03 Whether the adverse inference rule hinders the ability of persons Dilworth Paxson LLP
Nutzfahrzeuge GMBH v. Appeals (Federal threatened with a claim of patent infringement to engage in full and 3200 Mellon Bank
Dana Corp. Circuit) frank discussion with their counsel in the course of obtaining a Center
favorable written legal opinion because of the fear that these 1735 Market Street
privileged communications will have to be disclosed in order to avoid Philadelphia, PA 19103
a negative inference in a subsequent willful infringement action. Steven L. Friedman
Thomas S. Biemer
In re California Public U.S. Court of 10-Oct-03 Whether claims under the Securities Act of 1933 can be removed to Cleary, Gottlieb, Steen
Appeals (Second federal court under 28 U.S.C. § 1452, the bankruptcy removal statute. & Hamilton One
Circuit) Liberty Plaza
New York, NY 10006
Lewis J. Liman
Thomas J. Moloney
David H. Herrington
Katherine J. Roberts
33 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Marsh v. Prudential Court of Appeals, 27-Aug-03 Whether the practice of contingent incentive compensation is in Paul, Weiss, Rifkind,
Securities State of New York contravention of the New York Labor Law. Wharton & Garrison
LLP
1285 Avenue of the
Americas
New York, NY 10019-
6064
Brad S. Karp
Daniel J. Toal
Daniel R. Garodnick
MCA Financial Corp. v. U.S. Bankruptcy 16-Jul-03 Whether final payments made in connection with whole loan Miller, Canfield,
Paine Webber Court (E.D. MI) repossession transactions are protected under the “forward Paddock and Stone,
contract” safe harbor of the Bankruptcy Code. Because the case was P.L.C.
settled, the brief was never filed. 150 West Jefferson,
Suite 2500
Detroit, MI 48226
Donald J. Hutchinson
Cleary Gottlieb Steen
& Hamilton
One Liberty Plaza
New York, NY 10006
Seth Grosshandler
Lindsee P. Granfield
Lisa Schweitzer
United States v. Bergonzi U.S. Court of 5-Jun-03 Whether a company may cooperate with a government investigation Latham & Watkins LLP
Appeals (Ninth without risking waiver of the work product privilege as to other third 633 W. Fifth Street,
Circuit) parties under the “selective waiver doctrine.” Suite 4000
Lost Angeles, CA
90071
James J. Farrell
Robert K. Lu
Laurie B. Smilan
David M. Brodsky
34 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
Nuveen and Strong v. U.S. Court of 17-Apr-03 Whether a state law modeled after the Uniform Securities Act should Sidley Austin Brown &
Morgan Keegan Appeals (Tenth apply to an offer to sell securities that was neither “made in” nor Wood LLP
Circuit) “directed” to the state. 787 Seventh Avenue
New York, NY 10019
A. Robert Pietrzak
Sidley Austin Brown &
Wood LLP
1501 K St., NW
Washington, D.C.
20005
Joseph R. Guerra
Richard D. Klingler
Mayor of the City of New Supreme Court of 28-Mar-03 Whether New York City Local Law Number 36 is preempted by the Joseph R. Palmore
Thacher Profitt &
York v. Council of the City the State of New New York State Banking Law and regulations, and should be enjoined Wood
of New York York, County of New from taking effect. 11 West 42 nd Street
York New York, NY 10036
Kevin J. Plunkett
Equal Employment U.S. Court of 21-Mar-03 Whether arbitration of statutory employment claims pursuant to Orrick, Herrington &
Opportunity Commission v. Appeals (Ninth predispute arbitration agreements is appropriate and often superior Sutcliffe LLP
Luce, Forward, Hamilton & Circuit) to litigation. Old Federal Reserve
Scripps LLP Bank Bldg.
400 Sansome Street
San Francisco, CA
94111
Michael Delikat
Robert S. Whitman
James H. McQuade
35 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Case Name Court Date Filed Amicus Issue Counsel of Record
No. 84 Employer-Teamster U.S. Court of 13-Mar-03 Whether the absence of any market reaction to a disclosure in the Latham & Watkins LLP
Joint Council Pension Trust Appeals (Ninth form of a stock price drop is fatal to a plaintiff invoking “fraud-on-the- 505 Mongomery St.,
Fund v. America West Circuit) market” to establish reliance and materiality as elements of their Suite 1900
Holding Corp. Section 10(b) claim. San Francisco, CA
94111
Charles Stephen Treat
Latham & Watkins LLP
2 Freedom Square,
Suite 500
11955 Freedom Drive
Reston VA 20190
Laurie B. Smilan
J. Christian Word
New York City Employees’ U.S. District Court 17-Jan-03 Whether the court may properly assert federal “related to” Cleary, Gottlieb, Steen
Retirement System v. (S.D.N.Y.) jurisdiction under Section 1334(b) of the Judicial Code where the & Hamilton One
Ebbers defendant underwriters had contribution or indemnity rights against Liberty Plaza
a bankrupt issuer. New York, NY 10006
Jennifer L. Kroman
36 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
None.
37 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
Loan Syndications
and Trading
Association
The American
Bankers Association
The Clearing House
The Commercial
Finance Association
The Commercial
Real Estate Finance
Council
The Equipment
Leasing and Finance
Association
The Financial
Services Roundtable
None
38 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
Global Financial
Markets Association
(GFMA)
Asia Securities
Industry and
Financial Markets
Association
(ASIFMA)
Association for
Financial Markets in
Europe (AFME)
Australian Financial
Markets Association
None.
None.
39 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
None.
The Clearing House
Association
The American
Bankers Association
The New York
Bankers Association
U.S. Chamber of
Commerce
American Bankers
Association
None.
40 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
U.S. Chamber of
Commerce
U.S. Chamber of
Commerce
None.
U.S. Chamber of
Commerce
None.
41 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
U.S. Chamber of
Commerce
None
None
International Swaps
and Derivatives
Association, Inc.
(ISDA)
42 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
The Clearing House
Association
None
The Clearing House
Association
43 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
SIFMA Compliance &
Legal Society
Association of
Corporate Counsel
None
None
44 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
The Clearing House
Association
None.
U.S. Chamber of
Commerce
None.
None.
45 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
None.
None.
46 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
None.
U.S. Chamber of
Commerce,
American Bankers
Association,
Mortgage Bankers
Association
47 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
U.S. Chamber of
Commerce,
Pharmaceutical
Research and
Manufacturers of
America
None.
The Clearing House
Association, The
Financial Services
Roundtable
Association for
Financial Markets in
Europe (AFME), U.S.
Chamber of
Commerce, U.S.
Council for
International
Business,
The Association
Française Des
Enterprises Privées,
GC100
48 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
Mortgage Bankers
Association
None.
49 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
U.S. Chamber of
Commerce
None.
None.
None.
50 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
The Clearing House,
The Financial
Services Roundtable
None.
The Clearing House,
The National Foreign
Trade Council, The
Organization for
International
Investment, U.S.
Council for
International
Business
51 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
U.S. Chamber of
Commerce
None
Futures Industry
Association
52 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
International Swaps
and Derivatives
Association, Inc.
None.
53 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
International Swaps
and Derivatives
Association, Inc.
None.
U.S. Chamber of
Commerce
American Bankers
Association
ABA Securities
Association
The Clearing House
Association
Financial Services
Roundtable
None.
54 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
American
Securitization Forum
None
55 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
The Clearing House
Association
American Bankers
Association
Bankers’ Association
for Finance and
Trade
European Banking
Federation
The Financial
Services Forum
The Financial
Services Roundtable
Institute of
International
Bankers
The Swiss Bankers
Association
None.
None.
56 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
Futures Industry
Association
Loan Syndications
and Trading
Association
57 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
U.S. Chamber of
Commerce
U.S. Council for
International
Business
The Association
Française Des
Enterprises Privées
None.
58 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
Loan Syndications
and Trading
Association
The Clearing House
Association
National Foreign
Trade Council
Organization for
International
Investment
U.S. Council for
International
Business
None.
Loan Syndications
and Trading
Association
None.
59 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
The Financial
Services Roundtable
None.
Loan Syndications
and Trading
Association
International Swaps
and Derivatives
Association
Loan Syndications
and Trading
Association
60 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
U.S. Chamber of
Commerce
The Business
Roundtable
The Clearing House
Association
None.
61 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
U.S. Chamber of
Commerce
The Clearing House
Association
None.
U.S. Chamber of
Commerce
Association of
Corporate Counsel
62 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
U.S. Chamber of
Commerce
None.
Futures Industry
Association
Financial Services
Roundtable
International Swaps
and Derivatives
Association
Loan Syndications
and Trading
Association
63 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
U.S. Chamber of
Commerce
The Clearing House
Association
None.
None.
None.
International Swaps
and Derivatives
Association
64 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
International Swaps
and Derivatives
Association
International Swaps
and Derivatives
Association
International Swaps
and Derivatives
Association
None.
None.
65 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
U.S. Chamber of
Commerce
The Clearing House
Association
None.
None.
Investment
Company Institute
Investment Counsel
Association of
America
American Insurance
Association
American Council of
Life Insurers
National Business
Coalition on E-
Commerce and
Privacy
66 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
None.
American
Securitization Forum
67 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
International Swaps
and Derivatives
Association
None.
None.
None.
68 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
None.
None.
69 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
None.
70 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
None.
71 of 72
SIFMA Amicus Brief Program Contact Kevin Carroll
kcarroll@sifma.org
202.962.7382
Other Amici
None.
None.
72 of 72
