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Name Category Published
New Mexico State Investment Council v. Ernst & Young LLP
In securities fraud action, specific allegations of auditor’s failure to investigate documentation relating to company’s large grant of options support adequate pleading of scienter. 		Securities Apr. 14, 2011
The Facebook Inc. v. Pacific Northwest Software Inc.
Settlement agreement is enforceable against unknown securities claims, where sophisticated parties engaged in extensive discovery regarding company’s value. 		Securities Apr. 11, 2011
Matrixx Initiatives Inc. v. Siracusano
Materiality element of securities fraud allegation is determined by whether undisclosed fact would alter total mix of information available to reasonable investor. 		Securities Mar. 23, 2011
Sacks v. SEC
SEC errs in adopting rule that retroactively prohibits individuals who have been banned from securities industry from representing parties in securities-related arbitration. 		Securities Feb. 23, 2011
Simmonds v. Credit Suisse Securities (USA) LLC
Court properly dismisses shareholder’s derivative action where shareholder failed to send adequate demand letter to corporation identifying alleged wrongdoing. 		Securities Jan. 19, 2011
Viterbi v. Wasserman
Remedy of rescission in securities fraud claim requires privity of contract between plaintiff and defendant. 		Securities Jan. 11, 2011
Simmonds v. Credit Suisse Securities (USA) LLC
Court properly dismisses shareholder’s derivative action where shareholder failed to send adequate demand letter to corporation identifying alleged wrongdoing. 		Securities Dec. 2, 2010
SEC v. Platforms Wireless International Corp.
Company is not exempt from security registration requirement where company issuing securities is under common control of company selling securities to public. 		Securities Aug. 17, 2010
SEC v. Platforms Wireless International Corp.
Company is not exempt from security registration requirement where company issuing securities is under common control of company selling securities to public. 		Securities Jul. 28, 2010
Hamilton v. Conners
Forward-looking revenue projections, accompanied by cautionary language, are protected from securities violations under Private Securities Litigation Reform Act. 		Securities Jul. 1, 2010
Morrison v. National Australia Bank Ltd.
Securities and Exchange Act of 1934 Section 10(b) does not have extraterritorial application absent clear contrary legislative intent. 		Securities Jun. 25, 2010
Gebhart v. SEC
SEC properly considers objective unreasonableness of actions in determining whether defendant acted with conscious recklessness in making false statements. 		Securities Feb. 17, 2010
Ho v. Hsieh
Trial court abuses discretion when it transfers debtor’s valueless stock to creditor to enforce money judgment. 		Securities Jan. 27, 2010
Siracusano v. Matrixx Initiatives Inc.
Complaint sufficiently establishes scienter by alleging that defendant knew of material information regarding product's risks and issued press statements asserting product’s viability. 		Securities Oct. 28, 2009
U.S. v. Hickey
For mail and securities fraud, expert witness properly precluded from testifying that defendant's investment scheme could be profitable. 		Securities Sep. 3, 2009
Desai v. Deutsche Bank Securities Limited
Class certification in securities fraud case denied where plaintiffs could not show 'class-wide' reliance to establish predominance of common issues. 		Securities Jul. 30, 2009
Warfield v. Alaniz
Charitable gift annuities sold under Ponzi scheme are considered investment contracts subject to federal securities law. 		Securities Jun. 25, 2009
Rubke v. Capitol Bancorp Ltd.
Minority shareholders do not allege fraud with sufficient particularity to withstand dismissal for failure to meet pleading standards of Rule 9(b). 		Securities Jan. 13, 2009
Betker v. U.S. Trust Corp.
Bar orders issued by district court are vacated where they do not pass muster under Private Securities Litigation Reform Act of 1995. 		Securities Oct. 2, 2008
South Ferry v. Killinger
Reviewing court must consider totality of circumstances in determining whether defendants' imputed knowledge of 'core operations' satisfies heightened pleading standard. 		Securities Sep. 10, 2008
Metzler Investment GMBH v. Corinthian Colleges Inc.
In federal securities fraud class action, plaintiff's complaint fails to meet pleading requirements. 		Securities Aug. 27, 2008
Whistler Invstments Inc. v. Depository Trust and Clearing Corp.
Securities Exchange Act preempts state-law claims against registered clearing agencies in connection with SEC-approved services. 		Securities Aug. 25, 2008
Hartman v. Gilead Sciences Inc.
Investors sufficiently allege loss causation where FDA's warning letter causes drug company's publicly traded securities to drop in price . 		Securities Aug. 12, 2008
SEC v. M&A West Inc.
Defendant violates Section 5 of Securities Act of 1933 where he participates in reverse mergers and sells unregistered shares to public. 		Securities Aug. 12, 2008
U.S. v. Stringer
In parallel criminal proceeding, government may use evidence SEC received in course of civil investigation without violating due process. 		Securities Aug. 1, 2008
Metzler Investment GMBH v. Corinthian Colleges Inc.
In federal securities fraud class action, plaintiff's complaint fails to meet pleading requirements. 		Securities Jul. 29, 2008
Luther v. Countrywide Home Loans Servicing
Class Action Fairness Act does not trump Security Act of 1933 Section 22(a)'s bar on removal. 		Securities Jul. 18, 2008
Rick-Mik Enterprises Inc. v. Equilon Enterprises LLC
Franchisees who do not allege market power and credit card processing services distinct from gasoline franchise fail to state antitrust claim. 		Securities Jul. 14, 2008
Donell v. Kowell
Innocent investor in Ponzi scheme is required to disgorge profits as fraudulent transfers pursuant to Uniform Fraudulent Transfer Act. 		Securities Jul. 2, 2008
Bridge v. Phoenix Bond & Indemnity Co.
Plaintiff asserting claim predicated on mail fraud under Racketeer Influenced and Corrupt Organizations Act is not required to show first-party reliance. 		Securities Jun. 10, 2008
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