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Name Category Published
SEC v. JT Wallenbrock & Associates
In Ponzi scheme case, disgorgement order was proper where millions of dollars received by defendants was ill-gotten gain that unjustly enriched. 		Securities Jun. 20, 2006
Kircher v. Putnam Funds Trust
Remand orders pursuant to securities litigation law are not exempted from general rule of nonappealability. 		Securities Jun. 16, 2006
Merrill Lynch, Pierce, Fenner & Smith Inc. v. Dabit
Class action filed by holders of securities based upon state law grounds is pre-empted by Securities Litigation Uniform Standards Act. 		Securities Mar. 28, 2006
U.S. v. Tarallo
Telemarketer's conviction for securities fraud based on vicarious liability theory is not supported by sufficient evidence. 		Securities Oct. 5, 2005
Livid Holdings Ltd. v. Barney Inc.
Trial court may not apply 'bespeaks caution' doctrine to statements of historical fact. 		Securities Oct. 5, 2005
Sparling v. Daou
Allegation that company officers recognized revenues before labor had begun on contract projects suffices to show material misrepresentation. 		Securities Aug. 24, 2005
Sparling v. Daou
Allegation that company officers recognized revenues before labor had begun on contract projects suffices to show material misrepresentation. 		Securities Aug. 23, 2005
SEC v. Capital Consultants
District court properly approved receiver's plan of distribution proposing 50 percent offset. 		Securities Aug. 23, 2005
Securities and Exchange Commission v. Gemstar-TV Guide International Inc.
Termination package of $37 million to corporate officers was 'extraordinary payment' that was properly held in escrow. 		Securities Jul. 26, 2005
U.S. v. Tarallo
Telemarketer's conviction for securities fraud based on vicarious liability theory is not supported by sufficient evidence. 		Securities Jun. 30, 2005
Livid Holdings Ltd. v. Salomon Smith Barney
Trial court may not apply 'bespeaks caution' doctrine to statements of historical fact. 		Securities Jun. 20, 2005
Broudo v. Dura Pharmaceuticals Inc.
Securities fraud complaint satisfied 'loss causation' element of Section 10(b) violation of Securities and Exchange Act. 		Securities May 3, 2005
Dura Pharmaceuticals Inc. v. Broudo
Evidence of artificially inflated stock purchase price is insufficient to show loss causation. 		Securities Apr. 27, 2005
Nursing Home Pension Fund, Local 144 v. Oracle Corp.
Particularized allegations by buyers of software company's stock are sufficient to create strong inference that company acted with scienter. 		Securities Oct. 8, 2004
SEC v. Rubera
District court properly found that telephone investment program qualified as security that required registration. 		Securities Mar. 16, 2004
Securities and Exchange Commission v. Edwards
Investment scheme promising fixed rate of return is 'investment contract' subject to federal securities laws. 		Securities Jan. 21, 2004
Employers Teamsters Local Nos. 175 and 505 Pension Trust Fund v. Clorox Co.
Statements made by corporation are protected by safe harbor provision of Private Securities Litigation Reform Act. 		Securities Jan. 13, 2004
Ponce v. SEC
SEC's ruling that accountant violated federal securities law is affirmed. 		Securities Dec. 4, 2003
McKesson HBOC Inc. v. New York State Common Retirement Fund Inc.
Corporation cannot sue shareholders for being unjustly enriched due to accounting fraud. 		Securities Oct. 15, 2003
Nevius v. Read-Rite Corp.
Class members suing under Private Securities Litigation Reform Act failed to allege scienter with particularity. 		Securities Oct. 7, 2003
Vernazza v. SEC
SEC's decision to impose sanctions for materially false representations was supported by substantial evidence. 		Securities Jun. 24, 2003
No. 84 Employer-Teamster Joint Council Pension Trust Fund v. America West Holding Group
Shareholders in airline sufficiently pleaded claim for securities fraud. 		Securities Jun. 15, 2003
Securities and Exchange Commission v. McCarthy
Securities Exchange Act Section 21(e) authorizes use of summary proceedings to enforce commission orders in district court. 		Securities Jun. 11, 2003
Seinfeld v. Bartz
Shareholder failed to show proxy statements regarding stock options grants were materially false. 		Securities Jun. 11, 2003
Decker v. Yorkton Securities Inc.
Claim alleging brokers negligently deposited stock certificates requires subjective knowledge of significant probability of adverse claim. 		Securities May 21, 2003
Securities and Exchange Commission v. Hickey
Court has broad equitable power to freeze assets of nonparty where nonparty is dominated and controlled by defendant in securities action. 		Securities Mar. 18, 2003
SEC v. J.T. Wallenbrock and Associates
Promissory notes secured by accounts receivable qualify as securities under Securities Exchange Acts of 1933 and 1934. 		Securities Feb. 18, 2003
Falkowski v. Imation Corp.
Removal of action involving stock options was proper because claims are completely pre-empted by Securities Litigation Uniform Standards Act. 		Securities Jan. 15, 2003
In re Cavanaugh (Cavanaugh v. U.S. District Court)
District court employed erroneous factors when determining lead plaintiff in class action securities litigation. 		Securities Nov. 24, 2002
McNabb v. SEC
Severe sanctions are imposed upon defendant who sold securities, in form of promissory notes, without prior notice to his employer. 		Securities Sep. 25, 2002
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