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Results: 1-10 of 449

SEC charges company executives with issuing false press releases to inflate stock price

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

The Securities and Exchange Commission recently charged two executives at a penny stock company with issuing false and misleading press releases

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

Attendance at executive committee meetings insufficient to satisfy group pleading doctrine

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 22 2010

The U.S. District Court for the Southern District of New York recently granted defendants’ motions to dismiss a consolidated class action asserting claims for securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 brought by shareholders of Celestica, Inc., a Canadian electronics corporation, against the company and its former officers, as well as against Onex Corporation, the largest controlling shareholder of Celestica, and Onex’s CEO (together, the Onex defendants) based on, among other things, the plaintiffs’ failure to plead fraud with the specificity required by Rule 9(b) of the Federal Rules of Civil Procedure

Exemption to short swing profit liability includes directors by deputization

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 18 2008

Shareholders of Beacon Power Corporation (Beacon) brought a derivative action against, inter alia, investors who were “directors by deputization” and also held more than 10 of Beacon’s stock, alleging that such investors realized short swing profits in violation of Section 16(b) of the Securities Exchange Act of 1934

Securities class action dismissed where information was publicly available

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 31 2014

The US District Court for the Western District of Washington recently dismissed a securities fraud class action against Zillow, Inc. and named

US Court of Appeals for the District of Columbia Circuit grants petition for rehearing of decision on conflicts minerals rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 21 2014

On November 18, the US Court of Appeals for the District of Columbia Circuit granted the petitions of the Securities Exchange Commission and Amnesty

Steak and potatoes please but hold the insider tips; former public company CEO charged with passing material nonpublic information to favorite restaurant manager

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 23 2014

The Securities and Exchange Commission filed a complaint in a federal court in New York against the former chief executive officer and member of the

Corrective disclosure must provide new facts or fraud-revealing analysis

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 22 2008

After a jury found that the defendant committed securities fraud under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, a district court granted the defendant’s motion for judgment as a matter of law

Second Circuit upholds insider trading claim for unregistered securities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 31 2014

The US Court of Appeals for the Second Circuit recently held that the duty of corporate insiders to either disclose material nonpublic information or

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