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Results: 1-10 of 656

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


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


Court finds Section 15(a) of the Exchange Act only applicable in domestic transactions
  • Katten Muchin Rosenman LLP
  • USA
  • April 12 2013

The US District Court for the Northern District of Illinois recently granted defendants' motion to dismiss one count of a Securities and Exchange


Court denies motion to dismiss for failure to plead fraud with adequate particularity
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2009

Plaintiffs alleged, among other things, that defendants violated the Securities and Exchange Act of 1934 by engaging in a scheme to defraud investors through the sale of unregistered securities and by making misrepresentations to induce plaintiffs to invest in defendant corporation


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


US District Court Holds That Discretionary Tax Withholding is Exempt Under 16b-3
  • Katten Muchin Rosenman LLP
  • USA
  • May 12 2017

Several companies have received shareholder letters seeking to recover short-swing profits from insiders under Section 16(b) of the Securities


Ex-SEC Employee Pleads Guilty to Lying About Trading Securities
  • Katten Muchin Rosenman LLP
  • USA
  • May 14 2017

On May 9, David Humphrey, a former branch chief in the Securities and Exchange Commission's Division of Corporate Finance, pleaded guilty to charges


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


District Court holds video game company’s optimistic statements are not actionable
  • Katten Muchin Rosenman LLP
  • USA
  • October 31 2014

The US District Court for the Northern District of California recently dismissed a securities fraud class action against Electronic Arts, Inc. (EA


Tenth Circuit Holds SEC Administrative Tribunals Unconstitutional
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

A Federal Court of Appeals sitting in Denver, Colorado (the Tenth Circuit Court of Appeals), ruled that a Securities and Exchange Commission