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, LLC, No. 1:
2011cv01083 - Document 185 (D.N.J. 2016) case opinion from the District of ...
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.
www.icimutual.com/system/files/Section 36(b) Litigation Overview.email@example.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 ...
Nov 8, 2006 ... instituted against: (1) Hartford Investment Financial Services, LLC (“Hartford
Investment”) pursuant to Section 8A of the Securities Act of 1933 ...
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.
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. ...  In re Northern Lights Compliance Services, LLC, Inve...
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
... BROWN v. THE DIVISION OF YOUTH AND FAMILY SERVICES et al ....
KASILAG et al v. HARTFORD INVESTMENT FINANCIAL SERVICES, LLC ...