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SEC Division of Corporation Finance Provides Update on Conflict Minerals Rule
  • Katten Muchin Rosenman LLP
  • USA
  • April 14 2017

On April 7, the Securities and Exchange Commission Division of Corporation Finance (the Division) issued a statement regarding the effect of recent


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


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


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


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


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


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


CFTC Tells Court That Meaning of Spoofing Is Clear in Case Against Trader
  • Katten Muchin Rosenman LLP
  • USA
  • June 20 2016

The Commodity Futures Trading Commission filed papers in its lawsuit against a proprietary trading firm and its principal, claiming that the federal


Hedge fund manager sanctioned for defrauding investors by hiding Madoff losses and theft
  • Katten Muchin Rosenman LLP
  • USA
  • October 12 2014

A federal judge ordered Nikolai Battoo and two companies he controlled, BC Capital Group S.A. (Panama) and BC Capital Group (Hong Kong) Limited, to


Section 16(b) decision provides important guidance
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2015

A recent opinion by the US District Court for the Southern District of New York denying a motion to dismiss “short-swing” profit claims under Section