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Texas District Court addresses misappropriation theory of insider trading

Katten Muchin Rosenman LLP
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USA
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March 15 2013

The US District Court for the Northern District of Texas recently denied a defendant's motion for summary judgment in a Securities and Exchange

Supreme Court denies SEC extra time to bring enforcement actions for civil penalties

Katten Muchin Rosenman LLP
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USA
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March 8 2013

The US Supreme Court recently held that the Securities and Exchange Commission has five years from the date an alleged fraud occurs, not from the

Second Circuit holds Section 16(b) inapplicable to different classes of common stock

Katten Muchin Rosenman LLP
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USA
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January 11 2013

The US Court of Appeals for the Second Circuit has held that Section 16(b) of the Securities Exchange Act of 1934 does not apply to a transaction

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

Second Circuit addresses standard for SEC aider and abettor actions

Katten Muchin Rosenman LLP
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USA
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August 17 2012

The US Court of Appeals for the Second Circuit recently held that when the Securities and Exchange Commission brings an enforcement action against a defendant that has allegedly aided and abetted a securities law violation, the SEC is not required to plead that the defendant has proximately caused the injury resulting from the violation

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 jury verdict in options backdating enforcement action

Katten Muchin Rosenman LLP
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USA
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May 25 2012

The U.S. Court of Appeals for the Ninth Circuit affirmed a jury verdict against Carl Jasper, the chief financial officer of Maxim Integrated Products, Inc., that held him liable for the violations of several securities laws stemming from the improper accounting of backdated options

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

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

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