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Results: 1-10 of 438

DC court dismisses challenge to SEC restrictions on asset managers’ political contributions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 5 2014

A federal district court in the District of Columbia rejected challenges by the New York State and Tennessee Republican parties to a regulation of

Second Circuit holds contractual forum selection clause supersedes FINRA mandatory arbitration rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 29 2014

On August 21, the US Court of Appeals for the Second Circuit decided two closely watched appeals regarding the intersection of Financial Industry

District court sustains whistleblower wrongful termination claim

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 21 2012

Plaintiff Benjamin Ashmore brought a claim alleging that defendants CGI Group Inc. (CGI) and CGI Federal Inc. (CGI Federal) violated Section 806 of the Sarbanes-Oxley Act, otherwise known as the whistleblower provision

Investment Advisers Act has a onethree-year statute of limitations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 13 2009

The U.S. District Court for the Eastern District of Texas adopted the magistrate judge’s findings and recommended disposition and granted summary judgment in favor of the defendants

“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

Court holds late fee provision is not liquidated damages provision

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 23 2009

The United States District Court for the District of Delaware denied defendant issuer’s motion to dismiss plaintiff’s claims for actual damages resulting from the defendant’s failure to file a registration statement within the time period required by the parties’ agreement

A look back at insider trading in 2013

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 13 2014

The year 2013 would have been a significant year for insider trading prosecutions even if it did not culminate in the conviction of SAC Capital

Court addresses appropriate procedure for lead plaintiff appointment

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 11 2011

The United States District Court for the Eastern District of New York recently addressed the question of how to designate a lead plaintiff in a class action brought under the Private Securities Litigation Reform Act (PSLRA) where the original named plaintiff withdraws

No rescission of investment contract absent finding of fraud

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 5 2009

Plaintiffs sued an individual defendant in whose company they had invested, alleging violations of the Securities Exchange Act of 1934, breach of the investment contract, and common law fraud based upon defendant’s failure to disclose ongoing litigation at the time plaintiffs purchased their stock from the defendant for $1,050,000

Inference of scienter at least as likely as plausible opposing inference

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 15 2008

A federal district court denied defendants’ motion to dismiss plaintiff’s securities fraud class action, which asserted claims under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5