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Lickiss v. Financial Industry Regulatory Authority
In evaluating whether to expunge securities broker's records, court fails to consider equitable principles by adopting criteria of FINRA rule instead. 		Securities Aug. 24, 2012
Oxford Street Properties LLC v. Rehabilitation Associates LLC
Bank’s interest does not attach where debtor lacked rights in collateral and there was no evidence that debtor intended to create security interest in collateral. 		Securities May 23, 2012
SEC v. Jasper
Defendant is not entitled to have jury find all facts necessary to support reimbursement because reimbursement provision of Sarbanes-Oxley Act is equitable disgorgement remedy. 		Securities May 15, 2012
Credit Suisse Securities (USA) LLC v. Simmonds
Court errs in determining statute of limitations period for Securities Exchange Act of 1934 Section 16(b) violation is tolled until Section 16(a) disclosure is filed. 		Securities Mar. 26, 2012
Strategic Diversity Inc. v. Alchemix Corp.
Securities claims are timely where, despite plaintiff’s inquiry notice, defendants failed to show how reasonably diligent plaintiff would discover subsequent violations. 		Securities Jan. 23, 2012
Strategic Diversity Inc. v. Alchemix Corp.
Securities claims are timely where, despite plaintiff’s inquiry notice, defendants failed to show how reasonably diligent plaintiff would discover subsequent violations. 		Securities Dec. 5, 2011
Connecticut Retirement Plans and Trust Funds v. Amgen Inc.
When invoking fraud-on-the-market presumption for securities class action certification, plaintiff must prove trade in efficient market and that misrepresentations were public. 		Securities Nov. 9, 2011
WPP Luxembourg Gamma Three Sarl v. Spot Runner Inc.
Plaintiff properly alleges fraudulent intent for purposes of securities fraud claim where duty to disclose that founders were selling shares was ignored. 		Securities Aug. 24, 2011
Sacks v. SEC
SEC errs in adopting rule that retroactively prohibits individuals who have been banned from securities industry from representing parties in securities-related arbitration. 		Securities Aug. 9, 2011
Moss v. Kroner
Secondary liability may be imposed on agents or those who materially assist in direct seller’s securities violations. 		Securities Jul. 21, 2011
Reese v. BP Exploration (Alaska) Inc.
Forward-looking promise contained in SEC filings does not support securities fraud claim as misrepresentation of fact. 		Securities Jun. 29, 2011
SEC v. Todd
Securities fraud conviction is proper where witnesses testified regarding appropriateness of accounting practices, regardless of specific citation to generally accepted accounting principles. 		Securities Jun. 23, 2011
Janus Capital Group Inc. v. First Derivative Traders
Investment advisor does not ‘make’ statements contained in prospectus issued by separately owned mutual fund for liability purposes under SEC Rule 10b-5. 		Securities Jun. 13, 2011
Erica P. John Fund Inc. v. Halliburton Co.
Securities fraud plaintiffs need not prove loss causation to obtain class certification. 		Securities Jun. 7, 2011
Luther v. Countrywide Financial Corp.
State court has jursidction over 'covered class action' under federal Securities Act of 1933 because case was not based on state law. 		Securities May 19, 2011
The Facebook Inc. v. Pacific Northwest Software Inc.
Settlement agreement is enforceable against unknown securities claims, where sophisticated parties engaged in extensive discovery regarding company’s value. 		Securities May 17, 2011
Tides v. The Boeing Co.
Sarbanes-Oxley Act’s whistleblower provision does not protect employee’s disclosure of information to media. 		Securities May 4, 2011
Hellum v. Breyer
Corporations Code Section 25504 imposes presumptive liability on directors of any corporation that violated state securities statutes, regardless of directors’ actual control. 		Securities May 3, 2011
New Mexico State Investment Council v. Ernst & Young LLP
In securities fraud action, specific allegations of auditor’s failure to investigate documentation relating to company’s large grant of options support adequate pleading of scienter. 		Securities Apr. 14, 2011
The Facebook Inc. v. Pacific Northwest Software Inc.
Settlement agreement is enforceable against unknown securities claims, where sophisticated parties engaged in extensive discovery regarding company’s value. 		Securities Apr. 11, 2011
Matrixx Initiatives Inc. v. Siracusano
Materiality element of securities fraud allegation is determined by whether undisclosed fact would alter total mix of information available to reasonable investor. 		Securities Mar. 23, 2011
Sacks v. SEC
SEC errs in adopting rule that retroactively prohibits individuals who have been banned from securities industry from representing parties in securities-related arbitration. 		Securities Feb. 23, 2011
Simmonds v. Credit Suisse Securities (USA) LLC
Court properly dismisses shareholder’s derivative action where shareholder failed to send adequate demand letter to corporation identifying alleged wrongdoing. 		Securities Jan. 19, 2011
Viterbi v. Wasserman
Remedy of rescission in securities fraud claim requires privity of contract between plaintiff and defendant. 		Securities Jan. 11, 2011
Simmonds v. Credit Suisse Securities (USA) LLC
Court properly dismisses shareholder’s derivative action where shareholder failed to send adequate demand letter to corporation identifying alleged wrongdoing. 		Securities Dec. 2, 2010
SEC v. Platforms Wireless International Corp.
Company is not exempt from security registration requirement where company issuing securities is under common control of company selling securities to public. 		Securities Aug. 17, 2010
SEC v. Platforms Wireless International Corp.
Company is not exempt from security registration requirement where company issuing securities is under common control of company selling securities to public. 		Securities Jul. 28, 2010
Hamilton v. Conners
Forward-looking revenue projections, accompanied by cautionary language, are protected from securities violations under Private Securities Litigation Reform Act. 		Securities Jul. 1, 2010
Morrison v. National Australia Bank Ltd.
Securities and Exchange Act of 1934 Section 10(b) does not have extraterritorial application absent clear contrary legislative intent. 		Securities Jun. 25, 2010
Gebhart v. SEC
SEC properly considers objective unreasonableness of actions in determining whether defendant acted with conscious recklessness in making false statements. 		Securities Feb. 17, 2010
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