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Decided: July 10, 2014
The Fourth Circuit affirmed the district court’s judgment as a matter of law in favor of Prosperity Mortgage, and found that Prosperity Mortgage did not violate the Maryland Finder’s Fee Act.…
Decided: July 10, 2014
The Fourth Circuit held that the Defendant, Nutter, was not a “mortgage broker” under Maryland Finder’s Fee Act, Md. Code Ann. § 12-804(e), and so he could not be liable for …
Decided: May 7, 2014
The Fourth Circuit held that a change in law to an implied private cause of action under 17 C.F.R. § 240.10b-5 (“Rule 10b-5”) was inapplicable in the context of a criminal …
Decided: December 11, 2013
The Fourth Circuit affirmed Keith Simmons’s (Simmons) convictions for securities fraud and wire fraud, but reversed his conviction for two counts of money laundering because the transactions underlying these latter convictions …
Decided: April 29, 2013
Adley H. Abdulwahab appealed his conviction and sentence for several crimes related to a fraudulent investment scheme. The Fourth Circuit reversed Abdulwahab’s conviction for money laundering, but affirmed the conviction on …
Decided: June 21, 2012
In this declaratory judgment action, the Fourth Circuit held that a securities brokerage firm was subject to arbitrate the claims of certain investors who alleged that their financial advisor, a person …