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

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • 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

Indemnification extended to officer's post-employment actions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • 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

Third Circuit rejects novel government securities fraud theory

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 16 2010

The U.S. Court of Appeals for the Third Circuit affirmed the lower court’s dismissal of certain novel theories on which the government predicated a criminal indictment against two high-ranking executives of a pharmaceutical company

Expert testimony regarding “bust-out scheme” suppressed

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 8 2010

The U.S. Court of Appeals for the Third Circuit affirmed the district court’s grant of a motion brought by the U.S. Attorney’s Office prior to defendants’ criminal trial to exclude defendants’ expert testimony regarding the existence and elements of a mafia “bust-out scheme.”