Legal Opinion
Ulferts v. Franklin Resources, Inc.
District Court, D. New Jersey
Decided April 24, 2008No. Master File 07-CV-1309 (WJM)PublishedCited by 2 opinions
1Opinion of the Court
OPINION
WILLIAM J. MARTINI, District Judge.
Plaintiff — a shareholder of several mutual funds — has sued Defendants — the funds’ manager and distributor and their parent corporation- — -for violations of section 10(b) of the Securities Exchange Act of 1934 and section 12(a)(2) of the Securities Act of 1933. Plaintiff alleges that Defendants violated the Act by failing to disclose “shelf-space” arrangements with the funds’ brokers. Under these arrangements, Plaintiff alleges that Defendants provided brokers with financial incentives to sell their mutual funds. Plaintiff further alleges that…
2Cases cited18 opinions
- Tellabs, Inc. v. Makor Issues & Rights, Ltd.Supreme Court of the United States · 2007
- Montana v. United StatesSupreme Court of the United States · 1979
- Basic Inc. v. LevinsonSupreme Court of the United States · 1988
- Rivet v. Regions Bank of LouisianaSupreme Court of the United States · 1998
- Bogosian v. Gulf Oil Corp.Court of Appeals for the Third Circuit · 1977
13 more not listed; retrieve them via the Exa API.
3Cited by2 opinions
- Carlene Henry and Everson Francis v. Uber, et al.District Court, D. New Jersey · 2026
- Joshua Batista v. Wells Fargo Bank N.A., et al.District Court, D. New Jersey · 2026