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Texas District Court addresses misappropriation theory of insider trading

Katten Muchin Rosenman LLP
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USA
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March 15 2013

The US District Court for the Northern District of Texas recently denied a defendant's motion for summary judgment in a Securities and Exchange

Securities fraud claim survives despite post-fraud stock recovery

Katten Muchin Rosenman LLP
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USA
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August 10 2012

The U.S. Court of Appeals for the Second Circuit recently considered whether a stock’s share price recovery soon after the fraud became known defeats an inference of economic loss in a securities fraud suit at the pleading stage

Ninth Circuit affirms jury verdict in options backdating enforcement action

Katten Muchin Rosenman LLP
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USA
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May 25 2012

The U.S. Court of Appeals for the Ninth Circuit affirmed a jury verdict against Carl Jasper, the chief financial officer of Maxim Integrated Products, Inc., that held him liable for the violations of several securities laws stemming from the improper accounting of backdated options

District court rejects argument that Investment Advisers Act cannot be applied extraterritorially

Katten Muchin Rosenman LLP
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USA
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May 18 2012

The Securities and Exchange Commission brought a complaint against the former Chief Financial Officer of a now defunct investment adviser seeking enforcement of the Investment Advisers Act of 1940 (IAA

District court considers defendants' challenge to SEC's motion for final judgment

Katten Muchin Rosenman LLP
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USA
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April 27 2012

The Securities and Exchange Commission filed an enforcement action against defendants Robert D. Orr and Leland G. Orr alleging massive financial fraud

Court dismisses securities fraud claim for failure to allege economic loss

Katten Muchin Rosenman LLP
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USA
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January 27 2012

Notwithstanding a high level corporate officer’s allegedly duplicitous conduct, the U.S. District Court for the Western District of Pennsylvania recently dismissed a securities fraud claim based on the plaintiff’s failure to allege economic loss attributable to the alleged misrepresentation of the defendant

Indemnification extended to officer's post-employment actions

Katten Muchin Rosenman LLP
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USA
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January 13 2012

The Delaware Chancery Court granted indemnification to an officer who defended claims against him arising from representations he allegedly made before a merger, and for related conduct that occurred after that merger

Civil RICO case fails in absence of specific fraud allegations

Katten Muchin Rosenman LLP
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USA
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December 2 2011

A Colorado federal district court dismissed RICO claims in a case involving a property owner and a homeowners’ association, finding that the plaintiffs failed to plead specific instances of fraud necessary to sustain the claims

Absence of "hard numbers" scuttles securities fraud claims

Katten Muchin Rosenman LLP
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USA
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June 17 2011

The U.S. District Court for the Northern District of California dismissed securities fraud claims against a dental device maker based on the plaintiffs' failure to allege sufficient "hard numbers" showing that the defendants knew their public statements were false when made

Supreme Court creates bright line test under Rule 10b-5

Katten Muchin Rosenman LLP
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USA
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June 17 2011

The U.S. Supreme Court has found that a party that assists in the drafting and dissemination of a misleading statement related to the sale of a security - but that is not the legal entity ultimately responsible for the statement - will not be subject to liability for securities fraud under Securities and Exchange Commission Rule 10b-5

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