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Name Category Published
Berson v. Applied Signal Technology Inc.
Plaintiffs' allege particular facts supporting inference that stop-work orders and misleading backlog statements caused precipitous drop in revenue. 		Securities Jun. 6, 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 Apr. 7, 2008
Betz v. Trainer Wortham & Company Inc.
Statute of limitations for securities fraud claim begins to run when reasonable investor exercising reasonable diligence should have discovered she was defrauded. 		Securities Feb. 26, 2008
Wells Fargo Bank v. Superior Court (Richtenburg)
Class action brought against bank based on state law is preempted by federal securities law. 		Securities Jan. 28, 2008
Stoneridge Investment Partners v. Scientific-Atlanta
Dismissal is proper where private right of action under Section 10(b) of Securities Exchange Act of 1934 does not apply to aiders and abettors. 		Securities Jan. 16, 2008
Foster v. Wilson
Plaintiffs' federal securities fraud claim is properly dismissed where consultant's failure to purchase shares is at most, breach of contract. 		Securities Oct. 7, 2007
Betz v. Trainer Wortham & Co. Inc.
Statute of limitations for securities fraud claim begins to run when reasonable investor exercising reasonable diligence should have discovered she was defrauded. 		Securities Oct. 4, 2007
SEC v. Phan
Misstatements made in public company’s Form S-8 registration of securities do not rise to level of obviousness necessary to award summary judgment. 		Securities Aug. 29, 2007
Employers-Teamsters Local Nos. 175 & 505 Pension Trust Fund v. Anchor Capital Advisors
Non-parties in uncertified class action lack standing to bring appeal for alleged Securities Exchange Act violations. 		Securities Aug. 16, 2007
Clark v. First Union Securities Inc.
Trial court has jurisdiction to reconsider its prior ruling after arbitrators found two class causes of action were not arbitration eligible. 		Securities Aug. 12, 2007
Petrone v. VERITAS Software Corp.
Settlement notice fails under Private Securities Litigation Reform Act of 1995 where estimated recovery was not based on all class shares. 		Securities Jul. 25, 2007
Credit Suisse Securities LLC v. Billing
Securities law implicitly precludes application of antitrust laws to underwriters' alleged conduct in case brought by investors for 'laddering' and 'tying' agreements. 		Securities Jun. 24, 2007
Johnson v. Aljian
Plaintiff need not plead actionable predicate violation to maintain claim under Section 20A of Exchange Act. 		Securities Jun. 24, 2007
Tellabs Inc. v. Makor Issues & Rights Ltd.
'Strong' inference of scienter under Section 21D(b)(2) must be cogent and at least as compelling as any opposing inference of nonfraudulent intent. 		Securities Jun. 24, 2007
Credit Suisse Securities LLC v. Billing
Securities law implicitly precludes application of antitrust laws to underwriters' alleged conduct in case brought by investors for 'laddering' and 'tying' agreements. 		Securities Jun. 22, 2007
Johnson v. Aljian
Plaintiff need not plead actionable predicate violation to maintain claim under Section 20A of Exchange Act. 		Securities Jun. 22, 2007
Tellabs Inc. v. Makor Issues & Rights Ltd.
'Strong' inference of scienter under Section 21D(b)(2) must be cogent and at least as compelling as any opposing inference of nonfraudulent intent. 		Securities Jun. 22, 2007
Saberi v. Commodity Futures Trading Commission
Petition to review case of trader who intentionally violated Chicago Mercantile Exchange rule in trading frozen pork bellies, is denied. 		Securities Jun. 8, 2007
Saberi v. Commodity Futures Trading Commission
Petition to review case of trader who intentionally violated Chicago Mercantile Exchange rule in trading frozen pork bellies, is denied. 		Securities Jun. 8, 2007
Betz v. Trainer Wortham & Co. Inc.
Naive investor does not have inquiry notice where reasonable investor should not have discovered alleged fraud and they receive constant assurances. 		Securities May 11, 2007
Reiswig v. Dept. of Corporations for the State of California
Where company promoted certificates of deposit plus bonus, investment offered is not deemed security. 		Securities Mar. 20, 2007
U.S. v. Zolp
Court improperly finds stock to be worthless after revelation of securities fraud where shares sold and price increased. 		Securities Mar. 16, 2007
Capital Research and Management Co. v. Brown
Savings clause of National Securities Markets Improvement Act permits state attorney general's enforcement action against security's investment advisor and wholesale broker-dealer. 		Securities Feb. 16, 2007
People v. Frederick
Chain scheme offering co-ownership in corporation constitutes securities fraud, however filing false corporate tax return is not 'taking' for purposes of sentencing. 		Securities Nov. 2, 2006
Dreiling v. American Express Co.
Dismissal of case concerning short-swing profits was improper where there were questions of fact concerning whether insider was exempt from liability. 		Securities Oct. 19, 2006
U.S. v. Bhagat
No constructive amendment or material variance of indictment is found where facts presented were introduced for impeachment purposes. 		Securities Oct. 18, 2006
SEC v. Capital Consultants
Where parties failed to obtain direction for entry of judgment pursuant to FRCP Section 54(b), court lacked jurisdiction over their appeal. 		Securities Oct. 17, 2006
Deveny v. Entropin Inc.
Triable issues of material fact exist about whether class alleging securities violations against pharmaceutical company had constructive notice of facts underlying complaint. 		Securities Sep. 6, 2006
Simpson v. AOL Time Warner Inc.
In securities case, complaint was properly dismissed where it failed to allege that false appearance was created to further scheme to defraud. 		Securities Sep. 6, 2006
Powers v. Wells Fargo Bank NA
Statute 18 U.S.C. Section 1964(c) bars RICO claims alleging security fraud in individual and class actions except where defendant has been criminally convicted. 		Securities Jun. 26, 2006
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