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Results: 1-10 of 634

Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Michael Coscia, the first person prosecuted and convicted under a law prohibiting spoofing that was enacted after the 2007-2008 financial crisis, was


Withholding Tax Contrary to EU Law: The Brisal Case
  • Katten Muchin Rosenman LLP
  • European Union, United Kingdom
  • August 1 2016

On 13 July, the Court of Justice of the European Union (CJEU) released its decision in the Brisal case (C-1815). The Brisal case has potentially far


Appellate Court Says SEC Administrative Forums Constitutionally Okay for Enforcement Actions
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

A federal court of appeals in the District of Columbia upheld the constitutionality of the Securities and Exchange Commission's administrative judges


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


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


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


“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


In rare instance, court grants plaintiff’s summary judgment motion on fraud claim
  • Katten Muchin Rosenman LLP
  • USA
  • October 10 2008

A federal district court adopted a U.S. magistrate judge’s recommendation to grant the Securities and Exchange Commission’s motion for summary judgment and to enter an order for a permanent injunction and disgorgement with prejudgment interest against a registered investment adviser as well as its president and 50 owner


Issuer had standing to bring 10b-5 claim for injunction
  • Katten Muchin Rosenman LLP
  • USA
  • March 14 2008

A Utah District Court denied defendants’ motion to dismiss plaintiff’s claims for injunctive relief brought under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5


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