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Name Category Published
Hasso v. Hapke
Investment groups are not liable for fraudulent conveyance based on exercise of ‘unwinding’ option in contribution agreement where option was clearly documented. 		Securities Jul. 16, 2014
Police Retirement System of St. Louis v. Intuitive Surgical Inc.
Purchasers of robotic device company’s stock cannot maintain securities fraud action based on its forward-looking statements or garden-variety corporate optimism. 		Securities Jul. 16, 2014
Halliburton Co. v. Erica P. John Fund Inc.
Halliburton may use price impact evidence to rebut presumption of reliance on misrepresentations in challenging propriety of class treatment in securities fraud action. 		Securities Jun. 23, 2014
Hasso v. Hapke
Investment groups are not liable for fraudulent conveyance based on exercise of ‘unwinding’ option in contribution agreement where option was clearly documented. 		Securities Jun. 19, 2014
Goldman, Sachs & Co. v. City of Reno
Goldman Sachs does not need to submit dispute with city to FINRA, because both parties agreed to forum selection clause, which superseded obligation to arbitrate. 		Securities Apr. 1, 2014
Chadbourne & Parke LLP v. Troice
Private investors, who were scammed by Ponzi scheme run by Allen Stanford, may assert state law claims in their class actions against him. 		Securities Feb. 27, 2014
Reese v. Malone
BP shareholders get second chance at securities fraud class action in connection with misleading statements about 2006 oil spills on Alaskan tundra. 		Securities Feb. 14, 2014
World Trade Financial Corp. v. SEC
Securities broker-dealer is liable for sales of unregistered stock due to failure to diligently question origins of shares, despite several red flags. 		Securities Jan. 17, 2014
Nuveen Municipal High Income Opportunity Fund v. City of Alameda
City of Alameda dodges investment fund’s lawsuit based on $10 million loss in securities following failed expansion of electrical system to include Internet. 		Securities Sep. 20, 2013
SEC v. CMKM Diamonds Inc.
Transfer agent may not be liable for selling company's unregistered securities by issuing shares based on attorney opinion letters. 		Securities Sep. 11, 2013
Hildes v. Arthur Andersen LLP
Director of software company may sue directors of another company for overstating revenue and inflating stock prices before companies merged. 		Securities Aug. 19, 2013
Salameh v. Tarsadia Hotel
Purchasers of condominium units in mixed-use San Diego Hard Rock Hotel may not sue for securities violations because they were not sold securities. 		Securities Aug. 14, 2013
Dennis v. Hart
Federal court must send entire shareholder derivative suit back to state court, even if suit followed vote on executive compensation under federal Dodd-Frank Act. 		Securities Aug. 1, 2013
AREI II Cases
Investors in senior housing facility have claim against investment bankers who were aware company did not disclose its owner’s felony conviction. 		Securities May 30, 2013
Ronay Family Limited Partnership v. Tweed
Investment firm may enforce FINRA arbitration clause against investor as agent of securities broker, even though broker became defunct. 		Securities May 24, 2013
Petzschke v. Century Aluminum Co.
Purchasers of aftermarket shares of stock cannot sue company because they failed to adequately allege purchases were traceable to secondary offering. 		Securities Apr. 18, 2013
McDaniel v. Wells Fargo Investments LLC
Brokerage firms may adopt policies forbidding their employees from opening outside trading accounts in order to prevent harmful or unfair trading practices. 		Securities Apr. 10, 2013
Federal Home Loan Bank of San Francisco v. Countrywide Financial Corp.
Bank may not relitigate Securities Act violation claim against securities dealer after voluntarily dismissing claim in prior proceeding. 		Securities Apr. 2, 2013
Amgen Inc. v. Connecticut Retirement Plans and Trust Funds
Securities-fraud class action is properly certified in case involving artificially inflated stock prices because proof of materiality is not prerequisite to certification. 		Securities Feb. 28, 2013
Gabelli v. SEC
SEC’s fraud claim against portfolio manager for investment adviser is time barred because it was filed more than five years after allegedly illegal activity occurred. 		Securities Feb. 28, 2013
People ex rel. Owen v. Media One Direct LLC
California Corporations Commissioner properly exercises authority to issue subpoena seeking documents and witnesses to investigate possible securities law violations. 		Securities Feb. 28, 2013
Dichter Mad Family Partners LLP v. United States
Investors' lawsuit against SEC for negligence in relation to Madoff Ponzi scheme fails because action arose from discretionary acts of federal officers. 		Securities Feb. 13, 2013
Dichter-Mad Family Partners LLP v. United States
Investors' lawsuit against SEC for negligence in relation to Madoff Ponzi scheme fails because action arose from discretionary acts of federal officers. 		Securities Jan. 29, 2013
Freeman Investments L.P. v. Pacific Life Insurance Co.
Breach of contract claims against insurer, which related to securities purchases, move forward where claims involved interpretation of contract language, not fraud. 		Securities Jan. 2, 2013
Petzschke v. Century Aluminum Co.
Purchasers of aftermarket shares of stock cannot sue company because they failed to adequately allege purchases were traceable to secondary offering. 		Securities Jan. 2, 2013
National Elevator Industry Pension Fund v. VeriFone Holdings Inc.
Securities fraud class action must survive summary judgment based on allegations that CEO and CFO were deliberately reckless in issuing false financial statements. 		Securities Dec. 23, 2012
People v. Butler
Defendant who targeted unsophisticated investors in Ponzi scheme is guilty of securities fraud when he issued victims notes promising payment and return of principal. 		Securities Dec. 23, 2012
Inter-Local Pension Fund GCC/IBT v. Rigel Pharmaceuticals Inc.
Allegation that pharmaceutical company used wrong statistical methodology in drug study is not enough to maintain securities fraud lawsuit. 		Securities Sep. 7, 2012
Lickiss v. Financial Industry Regulatory Authority
In evaluating whether to expunge securities broker's records, court fails to consider equitable principles by adopting criteria of FINRA rule instead. 		Securities Aug. 24, 2012
Oxford Street Properties LLC v. Rehabilitation Associates LLC
Bank’s interest does not attach where debtor lacked rights in collateral and there was no evidence that debtor intended to create security interest in collateral. 		Securities May 23, 2012
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