FIRM CASES律所案例
Selected matters concluded by the firm, reported as case briefs: the facts, the questions presented, the governing statutes and decisions, and the firm's analysis and application of the law. Client identities and record numbers are withheld.本所已办结的部分案件，以案例评析形式呈现：案件事实、争议问题、适用的成文法及判例，以及本所对法律的分析与适用。客户身份及案卷编号均已隐去。
Securities证券法及相关
Firm Update本所动态Pending: Options Trader v. National Broker-Dealer: Order Handling, Trade Reporting and the Integrity of the Broker’s Own Records审理中：期权交易者诉全国性券商：订单处理、交易报告及券商自身记录的完整性The firm represents an individual options trader in a FINRA arbitration against a national broker-dealer and its successor. The trader alleges that options orders in his account were…本所代理一名个人期权交易者，对一家全国性券商及其承继公司提起FINRA仲裁。该交易者主张，其账户中的期权订单在传送、成交及报告方面损害了其利益：显示的成交记录未反映在全市场未平仓合…May 4, 20262026年5月4日Firm Update本所动态In re Leveraged Gold Miners ETFs: The First Investor Class Action Against Direxion Over NUGT and JNUG杠杆黄金矿业ETF案：首宗就NUGT及JNUG起诉Direxion的投资者集体诉讼Direxion Shares ETF Trust sponsors leveraged exchange-traded funds, including NUGT and JNUG, which seek two or three times the daily performance of gold miners indexes. Investors in those…Direxion Shares ETF Trust发行多只杠杆交易所交易基金，包括寻求黄金矿业指数单日表现两倍或三倍回报的NUGT及JNUG。新冠疫情初期，这些基金将杠杆由三倍降至…August 25, 20232023年8月25日