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Ninth Circuit reaffirms particularity requirement in securities fraud actions for pleading scienter
- Sheppard Mullin Richter & Hampton LLP
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- USA
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- February 3 2009
In Zucco Partners, LLC v. Digimarc Corp., 2009 WL 57081 (9th Cir. Jan. 12, 2009), the United States Court of Appeals for the Ninth Circuit reaffirmed that when pleading a claim for securities fraud under the Private Securities Litigation Reform Act of 1995 (the “Reform Act”), plaintiffs are bound by prior Ninth Circuit authority that requires them to plead particularized facts giving rise to a strong inference that defendants knew, or were deliberately reckless in not knowing, that their statements were false when made
Second Circuit holds that "interpositioning" transactions do not constitute deceptive acts to support criminal securities fraud liability
- Sheppard Mullin Richter & Hampton LLP
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- USA
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- August 5 2008
In United States v. Finnerty, 2008 U.S. App. LEXIS 15296 (2d Cir. July 18, 2008), the United States Court of Appeals for the Second Circuit set aside a guilty verdict imposing securities fraud liability against a New York Stock Exchange Specialist who engaged in “interpositioning” and “trading ahead” transactions, on the ground that the prosecution failed to prove that the defendant’s conduct constituted deceptive conduct under the federal securities laws
Ninth Circuit affirms dismissal with prejudice of Corinthian Colleges securities fraud class action
- Sheppard Mullin Richter & Hampton LLP
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- USA
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- August 5 2008
In Metzler Investment GMBH v. Corinthian Colleges, Inc., 2008 WL 2853402 (9th Cir. July 25, 2008), the United States Court of Appeals for the Ninth Circuit affirmed the dismissal with prejudice of a securities fraud class action, holding that plaintiffs had failed to plead the essential elements of loss causation, scienter and falsity consistent with the requirements of prevailing Supreme Court and Ninth Circuit authority
Ninth Circuit allows reinstatement of criminal fraud charges against defendants who voluntarily cooperated with SEC investigators
- Sheppard Mullin Richter & Hampton LLP
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- USA
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- April 30 2008
In United States v. Stringer, 2008 WL 901563 (9th Cir. Apr. 4, 2008), the United States Court of Appeals for the Ninth Circuit vacated a final order of the United States District Court for the District of Oregon that had dismissed criminal indictments against three individual defendants
Second Circuit reverses order disqualifying defense counsel in suit over demutualization of insurance company
- Sheppard Mullin Richter & Hampton LLP
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- USA
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- October 13 2009
In Murray v. Metropolitan Life Ins. Co., No. 09-3716-CV, 2009 WL 3080462 (2d Cir. Sept. 29, 2009), the United States Court of Appeals for the Second Circuit reversed an order by the district court disqualifying defense counsel for a life insurance company in an action alleging fraud in connection with the demutualization of defendant life insurance company
Third Circuit applies Tellabs to reject motive and opportunity test in favor of a "holistic approach" to pleading scienter in securities fraud actions
- Sheppard Mullin Richter & Hampton LLP
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- USA
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- June 18 2009
In Institutional Investors Group v. Avaya, Inc., 2009 U.S. App. LEXIS 9110 (3d Cir. April 30, 2009), a panel of the United States Court of Appeals for the Third Circuit applied the United States Supreme Court’s 2007 decision in Tellabs, Inc. v. Makor Issues & Rights, Ltd., 551 U.S. 308 (2007), for the first time to existing case law in the Third Circuit
Supreme Court severely limits secondary actors' exposure to securities fraud lawsuits
- Sheppard Mullin Richter & Hampton LLP
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- USA
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- January 17 2008
In Stoneridge Investment Partners, LLC v. Scientific-Atlanta, Inc., 2008 WL 123801 (U.S. Jan. 15, 2008) (Kennedy, J.), the Supreme Court rejected an attempt by a class action plaintiff to assert securities fraud claims against suppliers and customers of an issuer in whose stock the plaintiff invested
Line in the sand: Siemens Argentina case limits personal jurisdiction under the FCPA
- Sheppard Mullin Richter & Hampton LLP
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- Argentina, USA
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- March 8 2013
A New York federal district court judge has dismissed a Foreign Corrupt Practices Act ("FCPA") claim against a former executive of Siemens, S.A
Ninth Circuit holds that district courts may reject, but may not select, lead plaintiffs' counsel in class actions brought under the Private Securities Litigation Reform Act
- Sheppard Mullin Richter & Hampton LLP
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- USA
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- November 11 2009
In In re Cohen, No. 09-70378, 2009 WL 3681701 (9th Cir. Nov. 5, 2009), the United States Court of Appeals for the Ninth Circuit reversed an order by the United States District Court for the Northern District of California that rejected co-lead plaintiff’s selection of counsel and instead appointed a firm selected by the district court
Amicus brief filed in U.S. Supreme Court to support reversal of decision holding that any government contract tainted by fraud is void from the outset
- Sheppard Mullin Richter & Hampton LLP
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- USA
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- June 30 2008
On April 30, 2008, the National Defense Industrial Association -- a trade association whose membership includes 1300 defense contractors, many of whom are small businesses -- filed an amicus curiae brief in support of a petition for a writ of certiorari at the U.S. Supreme Court
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