What are the sources of information in the Litigation Notebook? The information in the Litigation Notebook predominantly derives from PACER (the federal judiciary’s electronic public access service), and also draws on the websites of state courts, the SEC, and other regulators. Please note that to access PACER through the ICI Mutual Litigation Notebook site, you (or your organization) must have a separate PACER subscription. PACER will charge you (or your organization) a per-page fee for access to docket sheets and other court filings. Please note that while PACER is a reasonably comprehensive resource for federal cases, the level of public information available about federal regulatory proceedings and about state cases or state regulatory proceedings may in some instances be more limited.
What cases and proceedings are included/excluded? The Litigation Notebook provides information about a broad selection of lawsuits and regulatory proceedings involving funds, fund directors and officers, and fund advisers. In some instances, as with consolidated actions or MDL procedings, the Litigation Notebook may not generally every individual lawsuit. We welcome your advice on which individual lawsuits and regulatory proceedings may merit inclusion.
Are the lists of cases sortable? Yes, the lists may be sorted by clicking on the column heading.
What is the "Details/ Documents/History (Free)" column? This column provides links to (1) basic public information about recent lawsuits and regulatory proceedings (e.g., case captions, status, type of case); (2) free access to significant documents filed in those matters; and (3) to the extent applicable and available, additional public information about the matters, including procedural history and links to relevant federal or state docket sheets or to the relevant regulators’ websites).
What cases and proceedings are considered "Open/Recently Closed"? This category includes cases and proceedings that are now open or that were closed in 2010 or 2011. For cases and proceedings closed between mid-2007 and 2010, please visit "Matters Closed Before 2010" in the Archives tab. Information regarding older cases and proceedings may be available in earlier hard-copy editions of the Litigation Notebook. Please contact us if you would like further information on older cases and proceedings.
How may I advise ICI Mutual of inaccuracies or of new information? ICI Mutual seeks to keep the Litigation Notebook accurate and up to date. If you become aware of new cases or related documents that you believe merit inclusion or if find any errors, please advise us promptly. You may contact us by e-mail or submit new information directly through links found on various pages of the site.
