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CBOE issues regulatory circular on members’ obligations when providing access to exchange systems

Katten Muchin Rosenman LLP
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USA
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November 6 2009

The Chicago Board Options Exchange (CBOE) issued a regulatory circular to its members in order to highlight certain supervisory obligations for members when providing client access to CBOE systems

Court of Appeals for the Eleventh Circuit affirms SEC’s civil enforcement judgment entered upon default

Katten Muchin Rosenman LLP
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USA
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November 6 2009

In December 2007, the Securities and Exchange Commission commenced a civil enforcement action against Don Warner Reinhard in the U.S. District Court for the Southern District of Florida

House Financial Services Committee passes Investor Protection Act

Katten Muchin Rosenman LLP
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USA
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November 6 2009

On November 4, the House Financial Services Committee passed H.R. 3817, the Investor Protection Act, by a vote of 41-28

Meaning of “tradable shares” in purchase agreement is deemed ambiguous

Katten Muchin Rosenman LLP
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USA
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November 6 2009

A purchase agreement entered into by plaintiffs and defendant obligated the defendant to purchase 50,000 shares of common stock from plaintiffs by February 3, 2006, and outlined two possible methods of consideration for this purchase

Investment advisor certified as lead plaintiff in securities class action

Katten Muchin Rosenman LLP
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USA
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October 16 2009

Lead Plaintiff Galleon Management LP (Galleon) is an investment advisor for two funds that claimed pecuniary loss from their purchase of Herley Industries, Inc. (Herley) securities at a fraudulently inflated price

Claims of violation of federal and state securities acts against investment advisor dismissed

Katten Muchin Rosenman LLP
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USA
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October 16 2009

Plaintiff invested in defendants’ real estate fund “based on the advice of the defendants and defendants’ representation that she would have a direct security interest in real estate or equity interest in real estate that would secure her investment.”

SEC seeks return of CEO profits under SOX 304 clawback provision

Katten Muchin Rosenman LLP
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USA
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July 24 2009

The Securities and Exchange Commission recently filed a complaint in the U.S. District Court for the District of Arizona against Maynard Jenkins, former CEO of CSK Auto Corp. (CSK), alleging violations of section 304 of the Sarbanes Oxley Act of 2002 (SOX

Businesses under common control jointly and severally liable for ERISA withdrawal

Katten Muchin Rosenman LLP
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USA
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July 24 2009

Plaintiff Unite National Retirement Fund, a multiemployer employee pension plan (the Plan), brought an action for withdrawal liability, pursuant to Sections 4201 through 4225 and 4301 of the Employee Retirement Income Security Act of 1974 (ERISA), as amended by the Multiemployer Pension Plan Amendments Act of 198 (MPPAA), against Ariela USA, Inc

Court issues rare ruling holding forum selection clause unenforceable

Katten Muchin Rosenman LLP
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USA
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June 26 2009

Plaintiffs, individuals living in the state of Washington, loaned money to defendant corporation for a real estate development project in return for regular periodic payments of interest

Court denies motion to dismiss for failure to plead fraud with adequate particularity

Katten Muchin Rosenman LLP
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USA
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June 26 2009

Plaintiffs alleged, among other things, that defendants violated the Securities and Exchange Act of 1934 by engaging in a scheme to defraud investors through the sale of unregistered securities and by making misrepresentations to induce plaintiffs to invest in defendant corporation

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