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KASILAG V. HARTFORD INVESTMENT FINANCIAL SERVICES ...

www.investorscoalition.com/litigation-tracker/kasilag-v.-hartford-investment-financial-services

Several shareholders in the Hartford Funds brought this lawsuit, alleging that the investment adviser, Hartford Investment Financial Services, was charging ...

KASILAG et al v. HARTFORD INVESTMENT FINANCIAL SERVICES ...

law.justia.com/cases/federal/district-courts/new-jersey/njdce/1:2011cv01083/255775/185/

KASILAG et al v. HARTFORD INVESTMENT FINANCIAL SERVICES, LLC, No. 1: 2011cv01083 - Document 185 (D.N.J. 2016) case opinion from the District of ...

Sub-adviser fees latest focus of excessive fee suits - Lexology

www.lexology.com/library/detail.aspx?g=4f13b4ee-e24c-4d3a-9e78-18034a43010c

Sep 29, 2011 ... According to the Investment Company Institute, as of April 2009, nearly 40 ... The most recent case, Sivolella v. ... the U.S. District Court of the District of Delaware, entitled Southworth, et al. v. Hartford Financial Services, LLC.

Section 36(b) Litigation Since Jones v. Harris - ICI Mutual

www.icimutual.com/system/files/Section 36(b) Litigation Overview.pdf?ici_passthru=true&name=constantcontact&email=info@icimutual.com

Notwithstanding the Supreme Court's Decision in Jones v. ... Section 36(b) of the Investment Company Act of 1940 (ICA) establishes a fiduciary duty on the part ...

Administrative Proceeding: Hartford Investment Financial Services ...

www.sec.gov/litigation/admin/2006/33-8750.pdf

Nov 8, 2006 ... instituted against: (1) Hartford Investment Financial Services, LLC (“Hartford Investment”) pursuant to Section 8A of the Securities Act of 1933 ...

Enhancing The Investment Advisory Contract Review Process For ...

www.mondaq.com/unitedstates/x/185252/Fund Management REITs/Enhancing The Investment Advisory Contract Review Process For US SubAdvised Funds

Jul 10, 2012 ... United States Finance and Banking Dechert 10 Jul 2012. ... lawsuits against managers of sub-advised funds: that the investment adviser performs little or no services in connection with the fee that it receives. .... 09-CV-433 (S.D. Iowa filed Oct. 28, 2009); Southworth v. Hartford Inv. Fin. Servs., LLC, No.

SEC.gov | Remarks to the ALI CLE 2013 Conference on Life ...

www.sec.gov/News/Speech/Detail/Speech/1370540410057

Nov 25, 2013 ... Speech to professionals in the dynamic field of investment products ... I see this field as a vital one, particularly in light of the services and .... during the 2008 financial crisis, and the effects of the Commission's 2010 .... 21, 2011); Southworth v. ... [3] In re Northern Lights Compliance Services, LLC, Inve...

Download PDF - Dechert LLP

www.dechert.com/files/Publication/d706932f-04e0-42e3-99f8-67ee96a45429/Presentation/PublicationAttachment/dafe5a46-28df-419a-a7d0-6f540ecb402a/IL_0612_KojiFelton.pdf

year against an investment adviser that hired a sub-adviser to ... services to the fund and recommended that the board .... Both Gartenberg and Jones v. Harris .... firms that are subsidiaries of larger financial services .... 2009); Southworth v. Hartford Inv. ... Kasilag v. Hartford Inv. Fin. Servs. LLC , No. 11-1083(D.N.J. filed Sep...

Judge Renee Marie Bumb - PlainSite

www.plainsite.org/judges/new-jersey-district-court/renee-marie-bumb/

... BROWN v. THE DIVISION OF YOUTH AND FAMILY SERVICES et al .... KASILAG et al v. HARTFORD INVESTMENT FINANCIAL SERVICES, LLC ...

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KASILAG et al v. HARTFORD INVESTMENT FINANCIAL SERVICES ...

law.justia.com

Dec 17, 2012 ... KASILAG et al v. HARTFORD INVESTMENT FINANCIAL SERVICES, LLC, No. 1: 2011cv01083 - Document 44 (D.N.J. 2012) case opinion from ...

Hartford Financial Can't Escape Suit Over Management Fees ...

www.law360.com

Dec 18, 2012 ... The case is Jennifer Kasilag v. Hartford Investment Financial Services LLC, case number 11-1083, in the U.S. District Court for the District of ...

AXA to face new breed of excessive-fee lawsuit - Lexology

www.lexology.com

Sep 16, 2011 ... In contrast, the AXA case, as well as others such as Southworth v. Hartford Investment Financial Services, LLC, represents a new type of ...