No. 18-1050
Michael H. Wu, et ux. v. Prudential Financial, Inc., et al.
Response WaivedRelisted (2)
Tags: fraud investment-company investment-company-act-1940 investment-company-act-of-1940 material-misstatement registration-requirement rule-10b-5 sales-literature securities-act-1933 securities-act-of-1933 securities-exchange-act-1934 securities-exchange-act-of-1934 securities-law securities-registration unit-investment-trust
Key Terms:
Securities JusticiabilityDoctri
Securities JusticiabilityDoctri
Latest Conference:
2019-06-06
(distributed 2 times)
Question Presented (from Petition)
(i) Whether the Variable Separate Account(s) of Pruco Life Insurance Company is registered with the Commission under the 1940 Act as a unit investment trust? And (ii) Whether shares of the underlying mutual fund portfolios are the securities being registered?
Question Presented (AI Summary)
Whether the Variable Separate Account(s) of Pruco Life Insurance Company is registered with the Commission under the 1940 Act as a unit investment trust?
Docket Entries
2019-06-10
Rehearing DENIED.
2019-05-21
DISTRIBUTED for Conference of 6/6/2019.
2019-04-30
Petition for Rehearing filed.
2019-04-15
Petition DENIED.
2019-03-27
DISTRIBUTED for Conference of 4/12/2019.
2019-03-12
Waiver of right of respondents Citigroup Global Markets, Inc. and John P. Havens to respond filed.
2019-03-12
Waiver of right of respondent T. Rowe Price Associates, Inc. to respond filed.
2019-03-11
Waiver of right of respondents Prudential Financial Inc., et al. to respond filed.
2019-02-28
Waiver of right of respondent Pruco Life Insurance to respond filed.
2018-11-28
Petition for a writ of certiorari filed. (Response due March 13, 2019)
Attorneys
Citigroup Global Markets, Inc. and John P. Havens
Miriam Goldman Bahcall — Greenberg Traurig, LLP, Respondent
Michael H. Wu, et ux.
Michael H. Wu — Petitioner
Pruco Life Insurance
Stephanie Ann Scharf — Scharf Banks Marmor, Respondent
T. Rowe Price Associates, Inc.
Brandon A. Carnes — Rock Fusco & Connelly, LLC, Respondent