all - Opinion Summaries
Page 169 of 174
Showing Result 1681 - 1690 of 1736
| Description | Date | Docket # |
|---|---|---|
MEDTOX SCIENTIFIC, INC. v. MORGAN CAPITAL, L.L.C.United States Eighth Circuit
Securities LawUnder section 16(b) of the Securities Act of 1934, 15 USC 78p(b), a holder of an option that allows it to acquire more than 10 percent of common stock... |
08/03/2001 | 00-3719 |
SEC. & EXCH. COMM'N v. COLDICUTTUnited States Ninth Circuit
Civil Procedure, Securities LawUnder Federal Rule of Civil Procedure 60(b)(5), a former broker enjoined from selling securities does not justify a lifting of the injunction merely... |
08/02/2001 | 99-56169 |
MATHEWS v. KIDDER, PEABODY & CO., INC.United States Third Circuit
Securities LawWhere a broker overstates the expected return of certain investment funds and downplayed their inherent risks, the misrepresentations exaggerated the... |
07/31/2001 | 00-2566 |
US v. FALCONEUnited States Second Circuit
Criminal Law & Procedure, Securities LawWhere evidence showed that defendant paid a substantial amount for an advance copy of a column about certain securities that could affect the... |
07/20/2001 | 00-1768 |
D'ALESSIO v. NEW YORK STOCK EXCH., INC.United States Second Circuit
Civil Procedure, Securities LawThe New York Stock Exchange (NYSE) and its officers have absolute immunity from charges of improper interpretations of federal securities laws and the... |
07/19/2001 | 00-9320 |
THEOHAROUS v. FONGUnited States Eleventh Circuit
Securities LawOfficer's public statement that company sold a division for strategic reasons and not because of credit problems is not a forward looking statement,... |
07/11/2001 | 00-12532 |
ZIEMBA v CASCADE INT'L, INC.United States Eleventh Circuit
Securities LawIn order for a secondary actor like a law firm or accounting firm to be primarily liable under Section 10(b) and Rule 10b-5, the alleged misstatement... |
07/11/2001 | 99-14681 |
SEC. & EXCH. COMM'N v. RAUSCHERUnited States Ninth Circuit
Securities LawThe standard of care for an underwriter of municipal offerings is that of reasonable prudence, for which the industry standard is one factor but not... |
06/26/2001 | 99-56828 |
JOHN HANCOCK LIFE INS. CO. v. WILSONUnited States Second Circuit
Dispute Resolution & Arbitration, Securities LawCustomers of a securities seller's "associated person" may compel the security seller into arbitration under NASD Rule 10301(a), even if they are not... |
06/18/2001 | 00-9505, 00-9525 |
OTTO v. SECS. & EXCH. COMM'NUnited States Seventh Circuit
Securities LawSecurities dealer's admission of all facts necessary to establish his guilt results in a waiver of his due process arguments, and dealer's ongoing... |
06/12/2001 | 00-3897 |
Results 1681 to 1690 of 1736