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U.S. v. Hickey
For mail and securities fraud, expert witness properly precluded from testifying that defendant's investment scheme could be profitable. 		Securities Sep. 3, 2009
Desai v. Deutsche Bank Securities Limited
Class certification in securities fraud case denied where plaintiffs could not show 'class-wide' reliance to establish predominance of common issues. 		Securities Jul. 30, 2009
Warfield v. Alaniz
Charitable gift annuities sold under Ponzi scheme are considered investment contracts subject to federal securities law. 		Securities Jun. 25, 2009
Rubke v. Capitol Bancorp Ltd.
Minority shareholders do not allege fraud with sufficient particularity to withstand dismissal for failure to meet pleading standards of Rule 9(b). 		Securities Jan. 13, 2009
Betker v. U.S. Trust Corp.
Bar orders issued by district court are vacated where they do not pass muster under Private Securities Litigation Reform Act of 1995. 		Securities Oct. 2, 2008
South Ferry v. Killinger
Reviewing court must consider totality of circumstances in determining whether defendants' imputed knowledge of 'core operations' satisfies heightened pleading standard. 		Securities Sep. 10, 2008
Metzler Investment GMBH v. Corinthian Colleges Inc.
In federal securities fraud class action, plaintiff's complaint fails to meet pleading requirements. 		Securities Aug. 27, 2008
Whistler Invstments Inc. v. Depository Trust and Clearing Corp.
Securities Exchange Act preempts state-law claims against registered clearing agencies in connection with SEC-approved services. 		Securities Aug. 25, 2008
Hartman v. Gilead Sciences Inc.
Investors sufficiently allege loss causation where FDA's warning letter causes drug company's publicly traded securities to drop in price . 		Securities Aug. 12, 2008
SEC v. M&A West Inc.
Defendant violates Section 5 of Securities Act of 1933 where he participates in reverse mergers and sells unregistered shares to public. 		Securities Aug. 12, 2008
U.S. v. Stringer
In parallel criminal proceeding, government may use evidence SEC received in course of civil investigation without violating due process. 		Securities Aug. 1, 2008
Metzler Investment GMBH v. Corinthian Colleges Inc.
In federal securities fraud class action, plaintiff's complaint fails to meet pleading requirements. 		Securities Jul. 29, 2008
Luther v. Countrywide Home Loans Servicing
Class Action Fairness Act does not trump Security Act of 1933 Section 22(a)'s bar on removal. 		Securities Jul. 18, 2008
Rick-Mik Enterprises Inc. v. Equilon Enterprises LLC
Franchisees who do not allege market power and credit card processing services distinct from gasoline franchise fail to state antitrust claim. 		Securities Jul. 14, 2008
Donell v. Kowell
Innocent investor in Ponzi scheme is required to disgorge profits as fraudulent transfers pursuant to Uniform Fraudulent Transfer Act. 		Securities Jul. 2, 2008
Bridge v. Phoenix Bond & Indemnity Co.
Plaintiff asserting claim predicated on mail fraud under Racketeer Influenced and Corrupt Organizations Act is not required to show first-party reliance. 		Securities Jun. 10, 2008
Berson v. Applied Signal Technology Inc.
Plaintiffs' allege particular facts supporting inference that stop-work orders and misleading backlog statements caused precipitous drop in revenue. 		Securities Jun. 6, 2008
U.S. v. Stringer
In parallel criminal proceeding, government may use evidence SEC received in course of civil investigation without violating due process. 		Securities Apr. 7, 2008
Betz v. Trainer Wortham & Company Inc.
Statute of limitations for securities fraud claim begins to run when reasonable investor exercising reasonable diligence should have discovered she was defrauded. 		Securities Feb. 26, 2008
Wells Fargo Bank v. Superior Court (Richtenburg)
Class action brought against bank based on state law is preempted by federal securities law. 		Securities Jan. 28, 2008
Stoneridge Investment Partners v. Scientific-Atlanta
Dismissal is proper where private right of action under Section 10(b) of Securities Exchange Act of 1934 does not apply to aiders and abettors. 		Securities Jan. 16, 2008
Foster v. Wilson
Plaintiffs' federal securities fraud claim is properly dismissed where consultant's failure to purchase shares is at most, breach of contract. 		Securities Oct. 7, 2007
Betz v. Trainer Wortham & Co. Inc.
Statute of limitations for securities fraud claim begins to run when reasonable investor exercising reasonable diligence should have discovered she was defrauded. 		Securities Oct. 4, 2007
SEC v. Phan
Misstatements made in public company’s Form S-8 registration of securities do not rise to level of obviousness necessary to award summary judgment. 		Securities Aug. 29, 2007
Employers-Teamsters Local Nos. 175 & 505 Pension Trust Fund v. Anchor Capital Advisors
Non-parties in uncertified class action lack standing to bring appeal for alleged Securities Exchange Act violations. 		Securities Aug. 16, 2007
Clark v. First Union Securities Inc.
Trial court has jurisdiction to reconsider its prior ruling after arbitrators found two class causes of action were not arbitration eligible. 		Securities Aug. 12, 2007
Petrone v. VERITAS Software Corp.
Settlement notice fails under Private Securities Litigation Reform Act of 1995 where estimated recovery was not based on all class shares. 		Securities Jul. 25, 2007
Credit Suisse Securities LLC v. Billing
Securities law implicitly precludes application of antitrust laws to underwriters' alleged conduct in case brought by investors for 'laddering' and 'tying' agreements. 		Securities Jun. 24, 2007
Johnson v. Aljian
Plaintiff need not plead actionable predicate violation to maintain claim under Section 20A of Exchange Act. 		Securities Jun. 24, 2007
Tellabs Inc. v. Makor Issues & Rights Ltd.
'Strong' inference of scienter under Section 21D(b)(2) must be cogent and at least as compelling as any opposing inference of nonfraudulent intent. 		Securities Jun. 24, 2007
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