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Page 4 of 174 Showing Result 31 - 40 of 1736

Description	Date	Docket #
Wadler v. Bio-Rad Laboratories, Inc. United States Ninth Circuit Securities Law, Labor & Employment Law Held that the trial judge erroneously instructed the jury on a whistleblower retaliation claim brought under the Sarbanes-Oxley Act. The plaintiff, a...	02/26/2019	17-16193
In re Picard United States Second Circuit Securities Law, International Law, Bankruptcy Law Held that a bankruptcy trustee may attempt to obtain property that Bernard Madoff's investment firm transferred to foreign entities that subsequently...	02/25/2019	17‐2992
In re Living Benefits Asset Management LLC United States Fifth Circuit Securities Law, Bankruptcy Law Held that a contract to provide financial services was voidable because the company had failed to register as an investment adviser, as it was...	02/22/2019	18-10510
Wallace v. Andeavor Corp. United States Fifth Circuit Securities Law, Labor & Employment Law Held that a company did not violate the Sarbanes-Oxley Act's whistleblower retaliation provisions when it fired one of its vice presidents. He did not...	02/15/2019	17-50927
Cornielsen v. Infinium Capital Management LLC United States Seventh Circuit Securities Law, Labor & Employment Law Held that a group of employees could not proceed with claims against their former employer, an investment firm, for securities fraud and breach of...	02/13/2019	17‐2583
Alaska Electrical Pension Fund v. Flotek Industries, Inc. United States Fifth Circuit Securities Law Affirmed the dismissal of a shareholder lawsuit against a technology company. Held that the plaintiffs failed to plead facts giving rise to a strong...	02/07/2019	17-20308
Lehman XS Trust v. Greenpoint Mortgage Funding, Inc. United States Second Circuit Securities Law, Banking Law Held that a bank's claims against a company in the mortgage industry were untimely. Affirmed summary judgment dismissing the lawsuit, in this case...	02/06/2019	17‐1290
Rostack Investments Inc. v. Sabella California Court of Appeal Securities Law Held that an individual was entitled to her costs on appeal, in an investment firm's lawsuit alleging that she had breached obligations under a...	02/05/2019	B286069
US Commodity Futures Trading Commission v. Crombie United States Ninth Circuit Securities Law Held that an investment firm co-founder willfully made false statements to a regulatory organization. Applied the heightened criminal standard for...	02/01/2019	13-17403
Nielen-Thomas v. Concorde Investment Services LLC United States Seventh Circuit Securities Law, Class Actions Held that a state law fraud lawsuit against an investment adviser was precluded by the Securities Litigation Uniform Standards Act. The statute's...	01/24/2019	18-2875

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