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AARP Foundation Legal Advocacy

Docket: Investor Protection


Case Name: Amgen v. Conn. Ret. Plans and Trust Funds

Court: U.S. Supreme Court    Docket: 011-1085

Read Summary and AARP's Amicus Brief (PDF)

Case Result: In a securities fraud class action where plaintiffs plead materiality, they need not establish materiality of alleged misstatements to invoke the fraud-on-the-market theory in support of class certification.

Case Name: Chadbourne & Parke LLP v. Troice

Court: U.S. Supreme Court    Docket: 12-79, 12-86, 12-88

Read Summary and AARP's Amicus Brief (PDF)

Case Issue:  Do either the federal Securities Litigation Uniform Standards Act (SLUSA) or the Private Securities Litigation Reform Act (PSLRA) preclude or preempt private remedies under state law for alleged fraudulent acts involving securities not covered under either federal act?

Case Name: Financial Industry Regulatory Authority (In re Matter of Department of Enforcement) v. Charles Schwab

Court: FINRA Nat. Adjudicatory Council    Docket: 2011029760201

Read Summary AARP's Amicus Brief (PDF)

Case Issue:  Can the disciplinary proceeding brought by FINRA's Department of Enforcement against a member broker-dealer seeking to enforce FINRA's prohibition of mandatory class action waivers in customer agreements proceed in light of the Federal Arbitration Act?

Case Name: Halliburton v. Erica P. John Fund

Court: U.S. Supreme Court   Docket: 13-317

Read AARP's Amicus Brief (PDF)

Case Result: Securities class action defendant may rebut the fraud-on-the-market presumption of reliance before class certification stage by showing a lack of price impact.

Case Name: Joseph, Colo. Securities Comm'n v. HEI Resources

Court: Colo. Ct. App.    Docket: 2013 CA 2090

Read  AARP's Amicus Brief (PDF)

Case Result:  The economic realities test, unencumbered by the strong presumption that general partnership interests are not securities, determines when general partnership interests constitute securities.

Case Name: Matrixx Initiatives, Inc. v. Siracusano

Court: U.S. Supreme Court   Docket: 09-1156

Read Summary and AARP's Amicus Brief (PDF)

Case Result:  In order to plead sufficiently a securities fraud case involving issuer's omissions to disclose adverse consumer incidents involving the issuer's pharmaceutical product, the number of incidents needs not be statistically significant.

Case Name: Merrill Lynch v. Manning

Court: U.S. Supreme Court   Docket: 14-1132

Filed: 10/30/2015

Read Summary AARP's Amicus Brief (PDF)

Case Issue:  Does Section 27 of the Securities Exchange Act of 1934 provide federal jurisdiction over state-law claims seeking to establish liability based on violations of the Act or its regulations or seeking to enforce duties created by the Act or its regulations?

Case Name: Omnicare v. Laborers Dist. Council Constr. Indus.Pension Fund

Court: U.S. Supreme Court    Docket: 13-435

Decided: 3/24/2015

Read Summary and AARP's Amicus Brief (PDF)

Case Result: Securities issuers may be liable for statements of opinions in their registration statements if they omit a fact relevant to the opinion and disclosure of the omitted fact, and it is necessary to make the statement not misleading to a reasonable investor.

Case Name: People of the State of New York v. Greenberg

Court: N.Y. Ct. App.    Docket: 401720/05

Read Summary and AARP's Amicus Brief (PDF)

Case Result: AG allowed to seek equitable/injunctive relief against two former corporate officers for their roles in alleged fraudulent activity.

Case Name: Public Employees' Pension System of Mississippi v. IndyMac

Court: U.S. Supreme Court    Docket: 13-640

Read Summary and AARP's Amicus Brief (PDF)

Case Result: Because the underlying case settled prior to oral argument, case dismissed on the ground that certiorari was improvidently granted.

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Legal Cases

Find cases in which AFL has advocated in courts nationwide for the rights of older persons, and filed AARP’s amicus curiae (“friend of the court”) briefs that help courts decide precedent-setting cases. The cases within the drop-down categories below are in alphabetical order for ease of searching.

Strengthening Law and Policy through
Legal Advocacy

Our legal advocacy initiatives  - conducted by AARP Foundation Litigation (AFL) - reflect more than 15 years of work in federal and state courts across the country. Through our efforts, we support the Foundation’s four impact areas: Tackling Senior Hunger, Paving the Way to Stable Income, assuring the adequacy and availability of Safe and Afffordable Housing and Reconnecting People to Families and Communities, and ensure that those 50 and older have a voice in the laws and policies that affect their daily lives.