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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

Court denies motion to dismiss claims against “winners” of Ponzi scheme

Katten Muchin Rosenman LLP
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USA
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May 29 2009

The receiver of a collapsed Ponzi scheme orchestrated and maintained by Val Edmund Southwick brought an action for fraudulent transfer and unjust enrichment against two consultants to Mr. Southwick’s organizations who allegedly received millions of dollars in consulting fees during the period in which he operated the Ponzi scheme

Investors in municipal bonds sufficiently pleaded scienter

Katten Muchin Rosenman LLP
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USA
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May 29 2009

The U.S. District Court for the Northern District of California held that scienter was sufficiently pleaded in a proposed counterclaim set forth by investors in municipal bond notes against the issuing city and its underwriter

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.”

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

Contractual right to arbitration forfeited by refusal to respond to discovery requests

Katten Muchin Rosenman LLP
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USA
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March 27 2009

A federal district court denied defendants’ motion to compel arbitration of a contractual dispute pursuant to the contract’s mandatory arbitration clause where the same defendants had defaulted in an arbitration proceeding commenced by plaintiffs two years ago involving the same dispute

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

Securities fraud involving asset purchase agreement adequately pled

Katten Muchin Rosenman LLP
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USA
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March 27 2009

A New York federal district court denied motions to dismiss federal securities fraud claims brought against two former officers of a computer software company, World Logistics Services (World Logistics

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

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