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Results: 1-10 of 374

“Sophisticated plaintiff” found to be adequate class representative

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 14 2013

The US District Court for the Western District of Texas certified a class of common stock purchasers in an action against Pain Therapeutics, Inc

Massachusetts District Court affirms scienter requirement of false statement crime

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 24 2013

The District Court for the District of Massachusetts recently held that in order to obtain a conviction for making a false statement to a government

“Deliberate recklessness” standard should have been applied in scienter analysis

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 8 2008

In a Securities and Exchange Commission enforcement action, a federal district court granted defendants’ motions for reconsideration of the entry of summary judgment against them on claims asserted under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5

Ninth Circuit holds assertion of counterclaim does not waive improper venue defense

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 3 2010

Investors filed a complaint in the U.S. District Court for the District of Arizona against the former president and CEO of a corporation that no longer had any assets, his wife, and the company’s former securities counsel

Gaming company’s regulatory delays insufficient to give rise to a securities fraud claim

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 3 2013

The US District Court for the Northern District of Illinois dismissed securities fraud claims against WMS Industries (WMS), a gaming and slot machine

Sixth Circuit lowers bar for securities claims and creates circuit split

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 31 2013

The US Court of Appeals for the Sixth Circuit recently held that pleading a claim under Section 11 of the Securities Act of 1933 does not require a

Statute of frauds bars claim for recommending investment in Ponzi scheme

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 31 2009

The Second Circuit Court of Appeals affirmed the Southern District of New York’s dismissal of a complaint by South Cherry Street, LLC, alleging that Hennessee Group LLC breached an oral contract to provide investment advisory services

"Obey-the-law" injunction too vague in sham transaction case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 15 2012

The U.S. Court of Appeals for the Eleventh Circuit last month held that a generic Securities and Exchange Commission injunction barring the owner of a securities firm from further violating securities laws was invalid because it lacked the specificity required

MF Global judgment clarifies law on client money entitlement

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • February 1 2013

A High Court judgment by Mr. Justice Richards handed down on January 29 has confirmed that a client's open positions on trades, made with a firm

S-8 registration does not apply to sales of securities for raising capital

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 14 2007

The Securities and Exchange Commission brought an action against the CEO of a publicly traded company (the Company) alleging that he violated, inter alia, Section 5 of the Securities Act of 1933 by using stock registered under Form S-8 to raise capital for the Company

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