all - Opinion Summaries
Page 33 of 174
Showing Result 321 - 330 of 1736
| Description | Date | Docket # |
|---|---|---|
Wiest v. LynchUnited States Third Circuit
Securities Law, Tax Law, Administrative Law, Labor & Employment LawJudgment dismissing federal whistleblower action under the Sarbanes-Oxley Act and related state law claims, is: 1) reversed in part as to the... |
03/19/2013 | 11-4257 |
SEC v. SmithUnited States Second Circuit
Probate, Trusts & Estates, Sanctions, Securities LawDistrict court's order in securities fraud action imposing sanctions against several individuals and authorizing a receiver to dispose of property... |
03/18/2013 | 11-3843 |
Levitt v. J.P. Morgan Securities, Inc.United States Second Circuit
Class Actions, Securities LawDecision of the district court certifying a class of investors, former customers of the New York broker-dealer Sterling Foster, is reversed where... |
03/15/2013 | 10-4596 |
Raymond James Financial Services, Inc. v. CaryUnited States Fourth Circuit
Banking Law, Dispute Resolution & Arbitration, Securities LawDefendant investors are not "customers" of plaintiff within the meaning of the Financial Industry Regulatory Authority (FINRA) arbitration provisions... |
03/08/2013 | 12-1053 |
Bechtel v. Administrative Review BoardUnited States Second Circuit
Administrative Law, Evidence, Labor & Employment Law, Securities LawPetition for review of order dismissing petitioner's whistleblower retaliation claim under the Sarbanes-Oxley Act is denied, where: 1) although the... |
03/05/2013 | 11-4918 |
Mayor and City Council of Baltimore, Maryland v. Citigroup, Inc.United States Second Circuit
Antitrust & Trade Regulation, Civil Procedure, Securities LawJudgment dismissing plaintiffs' complaints alleging putative class actions against defendants for conspiring to simultaneously stop buying auction... |
03/05/2013 | 10-722 |
US v. NouriUnited States Second Circuit
Criminal Law & Procedure, Sentencing, Securities Law, White Collar CrimeConvictions of securities fraud and related charges are affirmed, where: 1) the honest-services wire fraud jury instructions incorrectly stated the... |
03/04/2013 | 09-3627 |
New Jersey Carpenters Health Fund v. Royal Bank of ScotlandUnited States Second Circuit
Class Actions, Securities LawDismissal of plaintiff's complaint alleging the registration statement and the prospectus for a mortgage-backed security contained material... |
03/01/2013 | 12-1707 |
People ex rel. Owen v. Media OneCalifornia Court of Appeal
Administrative Law, Civil Procedure, Corporation & Enterprise Law, Securities LawThe California Corporations Commissioner properly exercised its statutory authority to issue an administrative subpoena duces tecum (SDT) and subpoena... |
02/27/2013 | D061231 |
Taveras v. UBS AGUnited States Second Circuit
Class Actions, ERISA, Labor & Employment Law, Securities LawJudgment dismissing plaintiffs' class action for breach of fiduciary duties imposed on defendant-fiduciaries by the Employee Retirement Income... |
02/27/2013 | 12-1662 |
Results 321 to 330 of 1736