all - Opinion Summaries

Sterling Trust Co. v. Adderly

Securities Law
Under the Texas Securities Act's requirement of "reckless disregard for the truth or the law," aider liability can only be imposed if the aider is...

EBC I, Inc. v. Goldman Sachs & Co.

Banking Law, Securities Law
The lead managing underwriter in a firm commitment underwriting owes a fiduciary duty to the issuer to disclose conflicts of interest in connection...

Kinermon v. Cadogan

Civil Procedure, Securities Law
Sarbanes-Oxley Act of 2002, 28 U.S.C. section 1658(b)(1), does not retroactively revive stale claims brought under the Securities Exchange Act of...

US v. Rigas

Criminal Law & Procedure, Securities Law
Defendant's petition to vacate a settlement agreement of a forfeiture action, which establishes a fund to compensate victims of a fraud, is dismissed...

Tello v. Dean Witter Reynolds, Inc.

Civil Procedure, Securities Law
The district court erred when it determined that the amended statute of limitations in the Public Company Accounting Reform and Investor Protection...

DL Capital Group v. Nasdaq Stock Market, Inc.

Securities Law
There is no fraud exception to the absolute immunity extended to self-regulatory organizations when they engage in conduct consistent with the...

Bear, Stearns & Co. v. 1109580 Ontario, Inc.

Dispute Resolution & Arbitration, Securities Law
Plaintiff's motion to confirm an arbitration award is affirmed over defendant's claim that the arbitrators acted in manifest disregard of the law.

Jevne v. L.A. Super. Ct.

Constitutional Law, Dispute Resolution & Arbitration, Securities Law
The federal Securities Exchange Act preempts California Code of Civil Procedure section 1281.85(a) and the National Association of Securities Dealer's...

McNamara v. Felderhof

Civil Procedure, Class Actions, Securities Law
In a securities fraud lawsuit, plaintiff's appeal of the district court's denial of class certification is dismissed for lack of appellate...

Moses.com Sec. v. Comprehensive Software Sys.

Civil Procedure, Cyberspace Law, Evidence, Injury & Tort Law, Securities Law
In a dispute concerning alleged malfunctioning software for automated stock trades, judgment in favor of defendant is affirmed over plaintiff's claim...