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Results: 1-10 of 74

Ninth Circuit holds that federal securities laws preempt California Labor Code's ban on forced patronage at brokerage firms

Sheppard Mullin Richter & Hampton LLP
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USA
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May 9 2013

In McDaniel v. Wells Fargo Investments, LLC, Nos. 11-17017, 11-55859, 11-55943, 11-55958, 2013 WL 1405949 (9th Cir. Apr. 9, 2013), the United States

Delaware Supreme Court affirms preclusive effect of non-Delaware dismissals and rejects irrebuttable presumption that a derivative plaintiff who fails to conduct a Section 220 inspection is an inadequate representative

Sheppard Mullin Richter & Hampton LLP
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USA
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April 23 2013

In Pyott v. Louisiana Municipal Police Employees' Retirement System, No. 380, 2012, 2013 WL 1364695 (Del. Apr. 4, 2013), the Delaware Supreme Court

Seventh Circuit affirms dismissal of securities fraud class action, remanding question of sanctions against plaintiffs' counsel

Sheppard Mullin Richter & Hampton LLP
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USA
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April 9 2013

In City of Livonia Employee Retirement System v. Boeing Co., Nos. 12-1899, 12-2009 2013 WL 1197791 (7th Cir. Mar. 26, 2013), the United States Court

Second Circuit reverses class certification order, holding that a clearing broker's alleged knowledge of fraud against shareholders, absence direct involvement, is insufficient to create a duty of disclosure

Sheppard Mullin Richter & Hampton LLP
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USA
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March 27 2013

In Levitt v. J.P. Morgan Securities, Inc., No. 10-4596, 2013 WL 1007678 (2d Cir. Mar. 15, 2013), the United States Court of Appeals for the Second

Second Circuit reverses dismissal of Section 11 and 12(a)(2) claims, holding that plaintiff's allegations were sufficient to plead a reasonable inference of misrepresentations in a prospectus

Sheppard Mullin Richter & Hampton LLP
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USA
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March 11 2013

In New Jersey Carpenters Health Fund v. Royal Bank of Scotland Group, PLC, 2013 U.S. App. LEXIS 4317 (2d Cir. Mar. 1, 2013), the United States Court

Third Circuit reinforces limits to directors' exposure for misconduct by corporate employees

Sheppard Mullin Richter & Hampton LLP
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USA
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March 7 2013

In Belmont v. MB Investment Partners, Inc., No. 12-1580, 2013 WL 646344 (3d Cir. Feb. 22, 2013), the United States Court of Appeals for the Third

United States Supreme Court holds that class action securities fraud plaintiffs need not prove the materiality of the alleged false statements or omissions to support certification of a class, resolving circuit split

Sheppard Mullin Richter & Hampton LLP
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USA
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March 7 2013

In Amgen Inc. v. Connecticut Retirement Plans & Trust Funds, No. 11-1085, ___ WL ______ (U.S. Feb. 27, 2013), the United States Supreme Court

United States Supreme Court declines to apply the "discovery rule" to extend the five-year statute of limitations for SEC punitive fraud enforcement actions

Sheppard Mullin Richter & Hampton LLP
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USA
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March 6 2013

In Gabelli v. Securities & Exchange Commission, No. 11-1274, 2013 WL 691002 (U.S. Feb. 27, 2013), the United States Supreme Court, in a unanimous

Second Circuit affirms dismissal of securities fraud claims relating to allegedly misleading press release

Sheppard Mullin Richter & Hampton LLP
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USA
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February 15 2013

In Kleinman v. Elan Corporation, No. 11-3706-cv, 2013 WL 388006 (2d Cir. Feb. 1, 2013), the United States Court of Appeals for the Second Circuit

The Second Circuit finds no Section 16(b) violation where different securities of the same issuer are bought and sold

Sheppard Mullin Richter & Hampton LLP
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USA
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January 10 2013

In Gibbons v. Malone, No. 11-3620-cv, 2013 WL 57844 (2d Cir. Jan. 7, 2013), the United States Court of Appeals for the Second Circuit held that the