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Results: 1-10 of 471

SEC charges investment advisers and owner of misleading investors in funds regarding the poor performance of underlying assets; respondents sue SEC right back

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 5 2015

The Securities and Exchange Commission commenced administrative proceedings against Lynn Tilton, and companies she owns and controls claiming that

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

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

Securities fraud claims dismissed for failure to plead with particularity

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

Individual plaintiffs residing in Switzerland and France brought suit against four corporate defendants, as well as certain corporate officers thereof, for, among other things, violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5

Software company to face suit over contract restructuring

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 27 2015

The United States District Court for the Northern District of California sustained a securities fraud complaint alleging that the defendants, a

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

Court finds defendants jointly and severally liable for disgorgement and prejudgment interest award in Ponzi scheme case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 9 2012

The US District Court for the Northern District of New York granted the Securities and Exchange Commission’s motion for entry of final judgment and monetary relief of disgorgement and prejudgment interest against defendants in a case involving violations of securities laws through the operation of a Ponzi scheme

SEC brings lawsuit against former Carter’s executive for insider trading and tipping

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 14 2014

On March 7, the Securities and Exchange Commission filed a complaint in the US District Court for the Northern District of Georgia against Richard

Securities fraud claims dismissed because defendant had no duty to disclose

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 3 2007

The seller of a convertible note sued the issuer-purchaser under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, claiming that the issuer committed fraud by repurchasing the note at a negotiated discount price without revealing its plan to raise funds through a new private placement to fund the redemption of all outstanding convertible notes at a premium price

US and NYS settle with BNYM over alleged FX price quality misrepresentations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 22 2015

Bank of New York Mellon agreed to pay a total of US $714 million to resolve civil lawsuits and investigations by the United States Attorney for the