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Claims of violation of federal and state securities acts against investment advisor dismissed
- Katten Muchin Rosenman LLP
- -
- USA
- -
- 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.”
Ninth Circuit rejects request to apply civil loss causation rule to sentencing
- Katten Muchin Rosenman LLP
- -
- USA
- -
- December 11 2009
The Ninth Circuit recently declined to apply the loss causation rule applicable to civil securities fraud cases to the determination of the appropriate sentence for criminal securities fraud convictions
Amended SEC claims against internet media executives sustained
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 2 2010
The U.S. District Court for the Southern District of New York (SDNY) recently sustained, in substantial part, an amended complaint by the Securities and Exchange Commission against the senior executives of StarMedia Network, Inc., an Internet portal that targets Spanish- and Portuguese-speaking markets, for accounting fraud
Misrepresentations allegedly made after sale held insufficient to sustain securities fraud claim
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 9 2010
The district court for the Eastern District of New York recently dismissed claims of securities fraud brought by a pro se plaintiff under Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 promulgated thereunder
Attendance at executive committee meetings insufficient to satisfy group pleading doctrine
- Katten Muchin Rosenman LLP
- -
- USA
- -
- October 22 2010
The U.S. District Court for the Southern District of New York recently granted defendants’ motions to dismiss a consolidated class action asserting claims for securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 brought by shareholders of Celestica, Inc., a Canadian electronics corporation, against the company and its former officers, as well as against Onex Corporation, the largest controlling shareholder of Celestica, and Onex’s CEO (together, the Onex defendants) based on, among other things, the plaintiffs’ failure to plead fraud with the specificity required by Rule 9(b) of the Federal Rules of Civil Procedure
SEC's claims of fraudulent kickback scheme will proceed to trial
- Katten Muchin Rosenman LLP
- -
- USA
- -
- August 20 2010
In a recent case filed by the Securities and Exchange Commission, the agency asserts that Donald McKelvey, as President of Telco-Technology, Inc., engaged in an illegal kickback scheme involving “sham” consulting agreements
SEC enforces new rule on short selling
- Katten Muchin Rosenman LLP
- -
- USA
- -
- February 5 2010
The Securities and Exchange Commission recently charged two California investment advisery firms, AGB Partners LLC and Palmyra Capital Advisors LLC, with engaging in improper short selling of securities in advance of their participation in a company's secondary offering, in violation of Rule 105 of Regulation M
Shareholder claims of federal securities fraud survive CEO’s motion to dismiss
- Katten Muchin Rosenman LLP
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- USA
- -
- March 5 2010
Plaintiff shareholders of NutraCea, a public corporation that produces stabilized rice bran to sell as a nutritional supplement, sued CEO Bradley Edson and CFO Todd Crow for violations of Section 10(b) of the Securities Exchange Act of 1934, and Securities and Exchange Commission Rule 10b-5 promulgated thereunder, control person liability under Section 20(a) of the Exchange Act, and violations of the Arizona Securities Act
Investors’ securities fraud claims against escrow company denied
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
Plaintiffs sued an escrow company for its role in a Ponzi scheme in which, according to a finding of fraud contained in a separate default judgment, non-parties Bradley Holcom and Jose Pinedo stole more than $6.4 million of plaintiffs’ investments
Improper accounting adjustments held insufficient basis for securities fraud claims
- Katten Muchin Rosenman LLP
- -
- USA
- -
- March 18 2011
A federal district court in California recently dismissed class action securities fraud claims arising out of several improper accounting adjustments made by VeriFone Holdings, Inc
Current Search
- Jurisdiction - USA
- Workarea - Capital Markets
- Workarea - White Collar Crime
- Firm Name - Katten Muchin Rosenman LLP
- Author - Jessica M. Garrett