all - Opinion Summaries
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Showing Result 51 - 60 of 1736
| Description | Date | Docket # |
|---|---|---|
SEC v. SethiUnited States Fifth Circuit
Securities LawIn a civil enforcement action brought by the Securities and Exchange Commission, held that a man committed securities fraud in connection with selling... |
12/04/2018 | 17-41022 |
US v. WaltersUnited States Second Circuit
Securities Law, Criminal Law & ProcedureAffirmed an investor's conviction of securities fraud and related crimes arising out of an insider trading scheme. However, vacated and remanded the... |
12/04/2018 | 17‐2373(L) |
Dvorak v. Granite Creek GP Flexcap IUnited States Seventh Circuit
Securities Law, Civil ProcedureAffirmed the dismissal of an investor's lawsuit on procedural grounds. Although the rules of civil procedure gave him a privilege to voluntarily... |
11/06/2018 | 18-1892 |
US v. StewartUnited States Second Circuit
Securities Law, Criminal Law & ProcedureVacated an investment banker's conviction on insider-trading charges, holding that certain impeachment evidence should not have been excluded.... |
11/05/2018 | 17‐593 |
Rivera v. Allstate Insurance Co.United States Seventh Circuit
Securities Law, Labor & Employment LawOverturned a $27 million jury verdict obtained by four former portfolio managers, who claimed that they were defamed when they were fired for... |
10/31/2018 | 17-1310 |
US v. BlountUnited States Fifth Circuit
Criminal Law & Procedure, Securities Law, SentencingAffirmed the sentence of a defendant who pleaded guilty to securities fraud crimes, rejecting his challenge to a sentencing enhancement imposed based... |
10/18/2018 | 17-30623 |
SEC v. SteinUnited States Ninth Circuit
Securities LawAffirmed summary judgment in favor of the Securities and Exchange Commission on its claims that an attorney committed securities fraud while... |
10/11/2018 | 15-55506 |
Employees' Retirement System of the State of Hawaii v. Whole Foods Market, Inc.United States Fifth Circuit
Securities LawHeld that Whole Foods did not defraud its shareholders in connection with the grocery store chain's alleged mislabeling of the weight of certain... |
10/03/2018 | 17-50840 |
Klein v. Cadian Capital Management, LPUnited States Second Circuit
Securities LawHeld in a shareholder derivative suit that the corporation should have been substituted as the plaintiff once the individual plaintiff lost a personal... |
10/02/2018 | 17‐3218‐cv |
SEC v. SchoolerUnited States Ninth Circuit
Securities LawHeld that a financial planner violated federal securities law by defrauding his investors, and that certain general partnership interests he sold... |
09/26/2018 | 16-55167 |
Results 51 to 60 of 1736