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Court finds Section 15(a) of the Exchange Act only applicable in domestic transactions

Katten Muchin Rosenman LLP
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USA
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April 12 2013

The US District Court for the Northern District of Illinois recently granted defendants' motion to dismiss one count of a Securities and Exchange

District Court finds that Securities Exchange Act covers stock “float” manipulation

Katten Muchin Rosenman LLP
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USA
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February 1 2013

In a self-described "precedent-setting" order, the US District Court for the Eastern District of Pennsylvania recently found that the Securities

Former hedge fund founder ordered to pay $5 million for securities law violations

Katten Muchin Rosenman LLP
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USA
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December 7 2012

The US District Court for the Southern District of New York recently ordered the investment adviser to two hedge funds, and its managing director, to pay nearly $5 million in disgorgement, prejudgment interest and civil penalties for violations of the federal securities laws

District court compels SEC to produce non-public documents

Katten Muchin Rosenman LLP
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USA
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October 19 2012

The US District Court for the District of Kansas recently ordered the Securities and Exchange Commission to produce certain non-public, internal documents to defendant in a civil enforcement action

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 dismissal of securities fraud complaint

Katten Muchin Rosenman LLP
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USA
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June 1 2012

The U.S. Court of Appeals for the Ninth Circuit recently affirmed a California district court’s ruling that plaintiffs failed to adequately plead misrepresentation and scienter in support of their claims for violation of Section 10(b) of the Securities Exchange Act of 1934 and Securities and Exchange Commission Rule 10b-5

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 addresses challenges to adequacy of lead plaintiff in consolidated class action

Katten Muchin Rosenman LLP
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USA
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February 17 2012

The U.S. District Court for the Southern District of New York recently addressed lead plaintiff designation in a consolidated class action brought under the Private Securities Litigation Reform Act (PSLRA

New Jersey District Court dismisses securities fraud action with prejudice

Katten Muchin Rosenman LLP
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USA
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October 28 2011

The plaintiff, a former officer of Alfacell Corporation, a biopharmaceutical company engaged in the development of cancer therapies, brought an action against his former employer, alleging violations of Section 10(b) of the Securities and Exchange Act of 1934 and Securities and Exchange Commission Rule 10b-5

Ninth Circuit allows discharge of debt related to securities law violation

Katten Muchin Rosenman LLP
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USA
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September 23 2011

The U.S. Court of Appeals for the Ninth Circuit has found that debts relating to a securities law violation could be discharged in a Chapter 7 bankruptcy proceeding if the debtor himself was not responsible for violating federal securities laws