all - Opinion Summaries
Page 137 of 174
Showing Result 1361 - 1370 of 1736
| Description | Date | Docket # |
|---|---|---|
D'ALLESSIO v. SECUnited States Second Circuit
Administrative Law, Sanctions, Securities LawTermination of plaintiff's membership in the NYSE is affirmed over plaintiff's contentions that 1) the SEC's partiality required its hearing officer... |
08/16/2004 | 03-4883 |
KAPPS v. TORCH OFFSHORE, INC.United States Fifth Circuit
Class Actions, Corporation & Enterprise Law, Securities LawPlaintiff's class action seeking damages for the purchase of defendant's stock is dismissed where 1) defendant did not make any false or materially... |
08/10/2004 | 03-30227 |
HOWARD v. SECUnited States DC Circuit
Sanctions, Securities LawThe SEC's order imposing sanctions on defendant is vacated where the district court applied an incorrect "should have known" negligence standard... |
07/30/2004 | 03-1098 |
ASHER v. BAXTER INT'L INC.United States Seventh Circuit
Corporation & Enterprise Law, Securities LawDismissal of plaintiff's complaint, alleging material misleading of projections by defendant, under Fed. R. Civ. P 12(b)(6) is reversed where the... |
07/29/2004 | 03-3189 |
MARRIE v. SECUnited States DC Circuit
Administrative Law, Securities LawThe Court reversed defendant's denial of plaintiff's right to practice before the SEC, finding that defendant's recklessness standard was unclear at... |
07/16/2004 | 03-1265 |
AMDAHL CORP. v. FRANCHISE TAX BOARDCalifornia Court of Appeal
Securities Law, Tax LawPlaintiffs successfully claimed the Franchise Tax Board had incorrectly applied the Revenue and Taxation Code concerning dividends received from its... |
07/07/2004 | A101101, A101203 & A102558 |
SEC v. TUSCHNERUnited States Eighth Circuit
Securities LawDistrict court erred in finding SEC's position was substantially justified, as the SEC failed to appropriately and adequately investigate the case... |
07/07/2004 | 03-2630 |
ZUCKER v. FRANKLINUnited States Third Circuit
Attorney's Fees, Securities LawA shareholder who successfully represents himself as a pro se plaintiff in a derivative suit which confers a benefit on the corporation cannot collect... |
06/30/2004 | 02-3389 |
KIRCHER v. PUTNAM FUNDS TRUSTUnited States Seventh Circuit
Civil Procedure, Class Actions, Securities LawCourt found that it did have subject matter jurisdiction under Securities Litigation Uniform Standards Act, and would proceed to the merits concerning... |
06/29/2004 | 04-1495 |
PENNECOM B.V. v. MERRILL LYNCH & CO.United States Second Circuit
Dispute Resolution & Arbitration, Injury & Tort Law, Securities LawThe court vacated trial court's dismissal, because if the plaintiff could prove it's allegations that defendant actively assisted in the presentation... |
06/28/2004 | 03-7774 |
Results 1361 to 1370 of 1736