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Ninth Circuit holds I v. I exclusion does not bar coverage; declines to determine exact meaning of “assistance”

Wiley Rein LLP
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USA
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March 11 2008

The United States Court of Appeals for the Ninth Circuit, applying California law in an unpublished opinion, has held that a D&O insurer could not deny coverage based on an I v. I exclusion, even though two officers of the company provided information to an underlying plaintiff

Court refuses to lift PSLRA discovery stay

Katten Muchin Rosenman LLP
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USA
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April 18 2008

Plaintiffs brought a shareholder derivative action, claiming the officers and directors of Asyst Technologies, Inc. (Asyst) violated federal and state securities law by backdating stock options and making false filings with the Securities and Exchange Commission

Plaintiff sufficiently pleaded securities fraud claims

Katten Muchin Rosenman LLP
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USA
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July 20 2007

The former Vice President of Finance and CFO of a publicly traded company unsuccessfully moved to dismiss claims asserted against him by the Securities and Exchange Commission for, among other things, violations of Rule 10b-5 based upon the inclusion of allegedly false and misleading statements in the company’s Form 10-K and Form 10-Q

Plaintiffs fail to allege 10b-5 claims against secondary actors

Katten Muchin Rosenman LLP
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USA
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April 4 2008

A federal district court partially granted defendants’ motion to dismiss plaintiffs’ Section 10(b) and Rule 10b-5 claims against a company and its affiliated individuals, arising out of falsified financial statements

Shareholders’ allegations satisfied scienter pleading requirements

Katten Muchin Rosenman LLP
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USA
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August 1 2008

In a putative securities fraud class action brought by shareholders against the company and its former CEO and CFO, defendants moved to dismiss on the grounds that, inter alia, plaintiffs failed to adequately plead scienter

Second Circuit dismisses claims but validates “corporate scienter” theory

Katten Muchin Rosenman LLP
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USA
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August 8 2008

The Second Circuit vacated and remanded a district court’s decision denying defendants’ motion to dismiss a putative securities fraud class action filed against a financial service company, its subsidiary and two executive officers

9th Circuit: CFO’s statements to counsel in an internal investigation can be used at trial

Pillsbury Winthrop Shaw Pittman LLP
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USA
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October 8 2009

In highlighting the "treacherous path which corporate counsel must tread under the attorney-client privilege when conducting an internal investigation," the Ninth Circuit recently held that statements made by a chief financial officer to outside counsel could be used in a subsequent criminal action against the officer because he knew his statements would be disclosed to the company’s outside auditors

District court dismisses securities fraud claim against company’s auditor

Katten Muchin Rosenman LLP
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USA
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November 16 2007

Granting defendant auditor’s motion to dismiss plaintiffs’ class action securities fraud claims, a federal district court held, among other things, that defendant could not be found liable under section 10(b) of the Securities Exchange Act of 1934 or Rule 10b-5 for statements that the auditor’s client but not the auditor made to the public

SEC issues Concept Release on disclosure of activities in countries designated as State Sponsors of Terrorism

Reed Smith LLP
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USA
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November 21 2007

On November 16, 2007, the U.S. Securities and Exchange Commission issued a Concept Release seeking public comment on providing enhanced access to disclosures made by public companies about their dealings in or with countries that the U.S. Secretary of State has designated as a State Sponsor of Terrorism

Weak internal controls and GAAP violations supported inference of scienter in securities class action

Katten Muchin Rosenman LLP
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USA
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December 18 2009

The U.S. District Court for the Southern District of New York denied defendants’ motion to dismiss in a consolidated securities class action lawsuit, where defendant corporation had to restate its financials after making a series of disclosures regarding poor accounting controls

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Search results

Ninth Circuit holds I v. I exclusion does not bar coverage; declines to determine exact meaning of “assistance”

Court refuses to lift PSLRA discovery stay

Plaintiff sufficiently pleaded securities fraud claims

Plaintiffs fail to allege 10b-5 claims against secondary actors

Shareholders’ allegations satisfied scienter pleading requirements

Second Circuit dismisses claims but validates “corporate scienter” theory

9th Circuit: CFO’s statements to counsel in an internal investigation can be used at trial

District court dismisses securities fraud claim against company’s auditor

SEC issues Concept Release on disclosure of activities in countries designated as State Sponsors of Terrorism

Weak internal controls and GAAP violations supported inference of scienter in securities class action

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