all - Opinion Summaries
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Showing Result 1651 - 1660 of 1736
| Description | Date | Docket # |
|---|---|---|
COMMODITY FUTURES TRADING COMM'N v. KIMBERLYNN CREEK RANCH, INC.United States Fourth Circuit
Securities Law7 USC 13a-1 of the Commodity Exchange Act provides subject matter jurisdiction over claims against individuals who have not violated the CEA as... |
01/04/2002 | 00-1989 |
SEC. & EXCH. COMM'N v. ZANDFORDUnited States Fourth Circuit
Securities LawIf a broker's fraudulent actions are not sufficiently connected with a securities transaction, the federal securities laws (S 17(a) of the Securities... |
12/27/2001 | 99-1733 |
MARKOWSKI v. SEC. & EXCH. COMM'NUnited States DC Circuit
Securities LawUnlawful stock manipulation is possible where dealer held shares in inventory to boost a company's share price, even if all trading in the shares... |
12/21/2001 | 00-1480 |
REISS v. FINANCIAL PERFORMANCE CORP.Court of Appeals of New York
Corporation & Enterprise Law, Securities LawWarrants to purchase shares of stock of a defendant corporation do not require adjustment in light of a reverse stock split authorized by defendant... |
12/18/2001 | 1 No. 135 |
KAMEN v. LINDLYCalifornia Court of Appeal
Securities LawA defendant must have engaged in both the sale and/or offer to sell or buy and/or offer to buy securities, and make misleading statements for the... |
12/05/2001 | H021077 |
ROSENBERG v. XM VENTURESUnited States Third Circuit
Securities LawBeneficial ownership of an issuer's equity securities is a necessary element of group membership within the meaning of section 13(d)(3) of the... |
12/05/2001 | 01-1484 |
SEC. & EXCH. COMM'N v. BASIC ENERGY & AFFILIATED RES., INC.United States Sixth Circuit
Securities LawA preliminary order cannot be a final, appealable order even when that preliminary order terminates all issues presented with respect to a particular... |
12/03/2001 | 00-1088, 00-1472 |
US SEC. & EXCH. COMM'N v. ZAHAREASUnited States Eighth Circuit
Securities LawUnder 15 USC 78c(a)(18), an underwriter who can refuse to sell IPO shares to a broker does not place the broker under "total control" of the... |
11/29/2001 | 00-3047 |
THOMAS v. STATE OF TEXASCourt of Criminal Appeals of Texas
Criminal Law & Procedure, Securities LawThe term other "evidence of indebtedness", as used in the definition of security in the Texas Securities Act, requires a writing for a conviction of... |
11/28/2001 | 108-00 |
BOVEE v. COOPERS & LYBRAND C.P.A.United States Sixth Circuit
Civil Procedure, Securities LawA court should consider a plaintiff's amended complaint when determining whether to dismiss it where amended complaint has substantially more detail. |
11/21/2001 | 00-3018, 00-3471 |
Results 1651 to 1660 of 1736