Description Date Docket #
SEC v. World Capital Market, Inc.
United States Ninth Circuit
White Collar Crime, Securities Law
In an issue of first impression involving the Securities and Exchange Commission's ability to disgorge ill-gotten funds from so-called 'relief...
03/21/2017 15-55325
Somers v. Digital Realty Trust Inc.
United States Ninth Circuit
White Collar Crime, Securities Law
In a whistleblower claim brought under the Dodd-Frank Act’s anti-retaliation provision, the district court's denial of the defendant's motion to...
03/08/2017 15-17352
US v. Bray
United States First Circuit
White Collar Crime, Securities Law, Criminal Law & Procedure
Conviction of illegal insider trading, after defendant received material, nonpublic information about a local bank from a fellow country club member...
02/24/2017 16-1579
People v. Black
California Court of Appeal
Property Law & Real Estate, White Collar Crime, Securities Law, Criminal Law & Procedure, Corporation & Enterprise Law
In the People's appeal pursuant to Penal Code section 1238(a)(1), challenging the trial court's order to set aside certain counts of charges against...
02/16/2017 H043360
Sharemaster v. US Securities & Exchange Commission
United States Ninth Circuit
Securities Law, Administrative Law
In a pro se petition for review brought by a registered broker dealer seeking review of an SEC decision that a $1000 penalty that the Financial...
02/02/2017 13-73199
Retail Wholesale & Department Store Union Local 338 Retirement Fund v. Hewlett-Packard Co.
United States Ninth Circuit
Securities Law
In a securities fraud action brought under the Securities Exchange Act of 1934 by shareholders alleging that the company CEO and chairman violated the...
01/19/2017 14-16433
Ganem v. InVivo Therapeutics Holdings C
United States First Circuit
Class Actions, Securities Law
In a putative class action suit filed by investors against the company and its former chief executive officer following a drop in the share price of...
01/09/2017 15-1544
Rainero v. Archon Corp.
United States Ninth Circuit
Civil Procedure, Class Actions, Securities Law
In a class action suit brought on behalf of a class of preferred stock shareholders, the court affirmed where the district court’s dismissal is for...
12/21/2016 14-17106
Scottsdale Capital Advisors v. Financial Industry Regulatory Authority
United States Fourth Circuit
Civil Procedure, Securities Law
In an action for an injunction claiming the FINRA proceeding is unauthorized because it violates the Securities Exchange Act of 1934, the district...
12/20/2016 16-1497
US v. Huggins
United States Second Circuit
White Collar Crime, Securities Law, Sentencing, Criminal Law & Procedure
Sentence for wire fraud and conspiracy to commit wire fraud related to defrauding investors in a sham diamond company are vacated and remanded where...
12/19/2016 15-1676-cr

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