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Name Category Published
SEC v. Rubera
District court properly found that telephone investment program qualified as security that required registration. 		Securities Mar. 16, 2004
Securities and Exchange Commission v. Edwards
Investment scheme promising fixed rate of return is 'investment contract' subject to federal securities laws. 		Securities Jan. 21, 2004
Employers Teamsters Local Nos. 175 and 505 Pension Trust Fund v. Clorox Co.
Statements made by corporation are protected by safe harbor provision of Private Securities Litigation Reform Act. 		Securities Jan. 13, 2004
Ponce v. SEC
SEC's ruling that accountant violated federal securities law is affirmed. 		Securities Dec. 4, 2003
McKesson HBOC Inc. v. New York State Common Retirement Fund Inc.
Corporation cannot sue shareholders for being unjustly enriched due to accounting fraud. 		Securities Oct. 15, 2003
Nevius v. Read-Rite Corp.
Class members suing under Private Securities Litigation Reform Act failed to allege scienter with particularity. 		Securities Oct. 7, 2003
Vernazza v. SEC
SEC's decision to impose sanctions for materially false representations was supported by substantial evidence. 		Securities Jun. 24, 2003
No. 84 Employer-Teamster Joint Council Pension Trust Fund v. America West Holding Group
Shareholders in airline sufficiently pleaded claim for securities fraud. 		Securities Jun. 15, 2003
Securities and Exchange Commission v. McCarthy
Securities Exchange Act Section 21(e) authorizes use of summary proceedings to enforce commission orders in district court. 		Securities Jun. 11, 2003
Seinfeld v. Bartz
Shareholder failed to show proxy statements regarding stock options grants were materially false. 		Securities Jun. 11, 2003
Decker v. Yorkton Securities Inc.
Claim alleging brokers negligently deposited stock certificates requires subjective knowledge of significant probability of adverse claim. 		Securities May 21, 2003
Securities and Exchange Commission v. Hickey
Court has broad equitable power to freeze assets of nonparty where nonparty is dominated and controlled by defendant in securities action. 		Securities Mar. 18, 2003
SEC v. J.T. Wallenbrock and Associates
Promissory notes secured by accounts receivable qualify as securities under Securities Exchange Acts of 1933 and 1934. 		Securities Feb. 18, 2003
Falkowski v. Imation Corp.
Removal of action involving stock options was proper because claims are completely pre-empted by Securities Litigation Uniform Standards Act. 		Securities Jan. 15, 2003
In re Cavanaugh (Cavanaugh v. U.S. District Court)
District court employed erroneous factors when determining lead plaintiff in class action securities litigation. 		Securities Nov. 24, 2002
McNabb v. SEC
Severe sanctions are imposed upon defendant who sold securities, in form of promissory notes, without prior notice to his employer. 		Securities Sep. 25, 2002
In re Broderbund/Learning Co. Securities Litigation
Plaintiffs did not suffer any damages from $15 gain per share and action was properly dismissed. 		Securities Sep. 17, 2002
Ahammed v. Securities Investor Protection Corp. (Primeline Securities Corp.)
Claimants who sought to invest in debentures with fraudulent agent are entitled to protection under Securities Investor Protection Act. 		Securities Sep. 17, 2002
DSAM Global Value Fund v. Altris Software Inc.
Allegations of poor auditing were insufficient to meet pleading requirements of Private Securities Litigation Reform Act. 		Securities Jul. 12, 2002
Securities and Exchange Commission v. Zandford
Broker who is criminally liable for misappropriating funds from client's investment account is also civilly liable under securities law. 		Securities Jun. 12, 2002
Patenaude v. The Equitable Life Assurance Society of the United States
Tax-deferred variable annuities are covered securities under Securities Litigation Uniform Standards Act. 		Securities May 20, 2002
Brody v. Transitional Hospitals Corp.
Plaintiffs failed to meet contemporaneous trading requirements necessary to have standing on insider trading claims. 		Securities Apr. 3, 2002
City of Philadelphia v. Fleming Companies
Plaintiffs did not show defendants knowingly and recklessly failed to disclose information of litigation in violation of securities act. 		Securities Nov. 13, 2001
Smith v. Lenches
Voluntary dismissal of federal securities claims did not result in legal prejudice to party that also defended claims in state court. 		Securities Nov. 12, 2001
SEC v. Dain Rauscher Inc.
Reasonable prudence is standard of care for underwriter of municipal offerings and industry standard is not determinative factor. 		Securities Aug. 24, 2001
Ronconi v. Larkin
Court affirms dismissal of securities fraud case because allegations didn't meet heightened pleading requirements of Private Securities Litigation Reform Act. 		Securities Aug. 23, 2001
The Alberta Securities Commission v. Ryckman
Arizona resident convicted of fraudulent securities practices in Canada was required to pay costs of judgment issued as final in Canada. 		Securities Aug. 8, 2001
Krull v. Securities and Exchange Commission
Sanctions against securities dealer are affirmed because substantial evidence supports SEC's findings that he made unsuitable investment recommendations. 		Securities Jul. 18, 2001
The Wharf (Holdings) Ltd. v. United International Holdings Inc.
Agreement to sell stock options where seller never intended to allow buyer to exercise option was fraud and violated Securities Act. 		Securities May 28, 2001
In re Advanced Tissue Sciences Securities Litigation
The most adequate plaintiff in a class action suit pursuant to the Private Securities Litigation Reform Act, is the one with the largest financial interest. 		Securities May 24, 2001
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