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Description Date Docket #

Carlson v. State of Delaware

Supreme Court of Delaware
Constitutional Law, Criminal Law & Procedure, Evidence, Securities Law
A conviction on counts of selling unregistered securities and on a count of a sale by an unregistered agent is affirmed over meritless claims that: 1)...
07/05/2006 448, 2005

Simpson v. AOL Time Warner Inc.

United States Ninth Circuit
Communications Law, Cyberspace Law, Education Law, M&A, Securities Law
The scope of primary violation liability under section 10(b) of the Securities Exchange Act includes deceptive conduct in furtherance of a "scheme to...
06/30/2006 04-55665

Johnson v. State of Florida

District Court of Appeal of Florida
Sanctions, Securities Law, Sentencing
Judgments and sentences on defendant for multiple offenses in three cases pursuant to a guilty plea are affirmed in part and reversed in part and the...
06/30/2006 2D05-3407.pdf

Rosenberg v. MetLife, Inc.

United States Second Circuit
Evidence, Injury & Tort Law, Labor & Employment Law, Securities Law
In a libel action brought by a terminated broker, claiming that statements made on an NASD employee termination form (Form U-5) are subject to an...
06/29/2006 05-4363

Summers v. UAL Corp.

United States Seventh Circuit
Bankruptcy Law, Class Actions, ERISA, Labor & Employment Law, Securities Law
Dismissal of a class action against an ERISA fiduciary who administered a Employee Stock Option Plan is affirmed where the fiduciary did not act...
06/28/2006 05-4005

Kovack Sec., Inc. v. Bailey

District Court of Appeal of Florida
Attorney's Fees, Securities Law
Affirmed, as parties do not create an implied contract for an award of attorney-s fees merely because each party requests an award of fees from the...
06/28/2006 4D05-4561

Newport Beach Country Club, Inc. v. Founding Members of the Newport Beach Country Club

California Court of Appeal
Civil Procedure, Corp. Governance, Corporation & Enterprise Law, M&A, Property Law & Real Estate, Securities Law
When a trial court judgment decides a case on two alternate grounds, and the appellate court affirms based on one ground, the judgment is binding...
06/26/2006 G035099

Coleman v. PricewaterhouseCoopers, LLC

Supreme Court of Delaware
Civil Procedure, Corporation & Enterprise Law, Injury & Tort Law, M&A, Professional Malpractice, Securities Law
Summary judgment for defendant on claims alleging that it made negligent misrepresentations in its audit report on the annual financial statements of...
06/26/2006 386, 2005, 473, 2005

Lions Gate Entm't Corp. v. Image Entm't Inc.

Court of Chancery of Delaware
Corp. Governance, Corporation & Enterprise Law, Entertainment Law, M&A, Remedies, Securities Law
Summary judgment is entered in favor of plaintiff, an independent producer and distributor of motion pictures and other entertainment, on all claims,...
06/23/2006 2011-N

Gildor v. Optical Solutions, Inc.

Court of Chancery of Delaware
Civil Procedure, Contracts, Corp. Governance, Corporation & Enterprise Law, M&A, Securities Law
In a case brought by a preferred shareholder in an attempt to assert his preemptive rights to buy certain new preferred shares issued by defendant, a...
06/23/2006 1416-N

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