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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

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

Katten Muchin Rosenman LLP
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USA
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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

Remand appropriate because fraud claim did not necessarily raise federal issue

Katten Muchin Rosenman LLP
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USA
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July 10 2009

The plaintiff filed a complaint in California state court alleging four state law causes of action, including claims for fraud, in connection with a "hostile takeover" of the plaintiff

Plaintiff sufficiently pled the existence of a securities contract to survive motion to dismiss

Katten Muchin Rosenman LLP
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USA
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July 30 2010

Plaintiff brought claims for securities fraud under Kentucky’s Blue Sky Laws in the U.S. District Court for the Western District of Kentucky, alleging that defendant convinced plaintiff to invest in International Tractor Co. (ITC), a purported supplier of heavy construction equipment

Expert testimony regarding “bust-out scheme” suppressed

Katten Muchin Rosenman LLP
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USA
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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.”

Third Circuit rejects novel government securities fraud theory

Katten Muchin Rosenman LLP
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USA
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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

Dismissal of securities fraud claim involving Hurricane Katrina losses affirmed

Katten Muchin Rosenman LLP
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USA
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January 15 2010

The U.S. Court of Appeals for the Second Circuit affirmed the district court’s dismissal of a securities fraud class action suit brought against defendant PXRE Group, Ltd. (a reinsurance company) and its officers and directors because plaintiffs failed to adequately plead scienter

Receipt of stock options insufficient to show continuation of alleged conspiracy

Katten Muchin Rosenman LLP
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USA
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June 11 2010

The U.S. District Court for the District of South Carolina set aside the convictions of two employees of Medical Manager Corporation for conspiracy to commit mail, wire and securities fraud

Second Circuit affirms dismissal in Madoff-related investor action

Katten Muchin Rosenman LLP
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USA
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October 29 2010

The U.S. Court of Appeals for the Second Circuit affirmed the U.S. Bankruptcy Court for the Southern District of New York’s dismissal of a complaint brought by Rosenman Family, LLC, an investor with Bernard L. Madoff Investment Securities LLC (BLMIS), against the trustee of BLMIS’s estate

Shareholder suit dismissed for insufficient scienter allegations

Katten Muchin Rosenman LLP
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USA
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February 25 2011

The U.S. Court of Appeals for the Eleventh Circuit affirmed the dismissal of a consolidated securities fraud action, holding that the complaint's scienter allegations did not meet the required heightened pleading standards

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