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Name Category Published
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
Feigin v. Alexa Group
Investors cannot intervene in civil enforcement action brought by Colorado Security Commissioner when their ability to protect own interests is not impaired. 		Securities May 7, 2001
Siporin v. Carrington
Purchaser entitled to rescind investments qualifying as securites under Arizona Securites Act when they are not registered as required. 		Securities May 1, 2001
Koch v. Koch Industries Inc.
Materiality requirement of securities fraud claim is assessed under subjective, not objective, standard pursuant to Texas law. 		Securities Apr. 19, 2001
Sheldon v. Vermonty
Order 		Securities Nov. 12, 2000
Dunleavy v. Nadler
In class action, proposed settlement filed before Private Securities Litigation Reform Act's effective date may be reviewed under methodology mandated by statute. 		Securities Aug. 5, 2000
Securities and Exchange Commission v. Carnicle
Order 		Securities Jun. 29, 2000
S.E.C. v. Cochran
Evidence creates genuine issue of material fact about whether bond underwriter's employee has fiduciary relationship with a government agency. 		Securities Jun. 21, 2000
Koch v. SEC
Injunction against dealing penny stock can't be based on petitioner's alleged misconduct committed before enactment of penny stock act. 		Securities Jun. 19, 2000
Binder v. Gillespie
Presumption of reliance isn't available regarding alleged misrepresentations when security isn't traded in 'efficient market.' 		Securities Jun. 19, 2000
Binder v. Gillespie
Presumption of reliance isn't available regarding alleged misrepresentations when security isn't traded in 'efficient market.' 		Securities Jun. 19, 2000
Yoshikawa v. SEC
Substantial evidence is required to find that securities dealer engaged in sham transactions, known as 'parking,' to conceal true ownership. 		Securities Jun. 19, 2000
SEC v. Nite
SEC isn't entitled to summary judgment in fraud action, where pro se defendant had insufficient notice of requirements for opposing summary judgment. 		Securities Jun. 2, 2000
Dunleavy v. Nadler
In class action, proposed settlement filed before Private Securities Litigation Reform Act's effective date may be reviewed under methodology mandated by statute. 		Securities May 24, 2000
Commodity Futures Trading Commission v. Topworth International Ltd.
Commodity Futures Trading Commission can regulate trades involving both foreign currency and precious metals. 		Securities May 5, 2000
In re California Micro Devices Securities Litigation
Settlement proposal which offers more up front cash to class than previous proposal is approved. 		Securities Feb. 8, 2000
Powers v. Eichen
Motion to dismiss suit alleging misleading statements artificially inflating stock prices is granted in part. 		Securities Feb. 8, 2000
In re Clearly Canadian Securities Litigation
Approval of settlements in class actions is denied where plans of allocation are inadequate. 		Securities Feb. 8, 2000
In re Silicon Graphics Inc. Securities Litigation
Failure to specifically plead plaintiff traded contemporaneously with defendants causes dismissal of insider transaction claim. 		Securities Feb. 7, 2000
Ravens v. Iftikar
Published notice of pending securities class action doesn't provide sufficient information to satisfy notice requirements. 		Securities Feb. 7, 2000
Ravens v. Iftikar
Inadequacy of notice to class members precludes designation as lead plaintiffs. 		Securities Feb. 7, 2000
Matter of Cirrus Logic Securities Litigation
Shareholders fail to establish material fact issue showing company's deviations from its policy constituted fraud. 		Securities Feb. 7, 2000
In re Interactive Network Inc. Securities Litigation
Failure to allege use of insider information in connection with securities sale warrants complaint dismissal. 		Securities Feb. 7, 2000
Miller v. Commodities Future Trading Commission
Commodities Futures Trading Commission can impose a fine for violating Commodities Exchange Act, but fine must be supported by record. 		Securities Jan. 6, 2000
Yourish v. California Amplifier
Unsupported claim of existence of nonpublic information, inconsistent with defendant's representations, doesn't meet the heightened pleading requirements for fraud. 		Securities Dec. 3, 1999
Cowen Securities Corp. v. U.S. District Court (Randall)
Under Securities Litigation Reform Act, after grant of motion to dismiss class action suit without prejudice, court cannot permit discovery. 		Securities Dec. 3, 1999
The Ambassador Hotel Co. v. Wei-Chuan Investment
Loss causation for fraud in sale of securities requires showing that defendant's misrepresentations caused plaintiff's injury more than another factor. 		Securities Dec. 3, 1999
Hertzberg v. Dignity Partners Inc.
Investors, who purchased stock more than 25 days after initial offering, had standing to bring Section 11 claim against corporation. 		Securities Dec. 3, 1999
Heliotrope General Inc. v. Ford Motor Company
Issuer isn't liable for fraud on market based on failure to disclose tax strategy if pre-purchase market information includes offering's tax purpose. 		Securities Dec. 3, 1999
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