Description Date Docket #
US v. Blount
United States Fifth Circuit
Criminal Law & Procedure, Securities Law, Sentencing
Affirmed 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. Stein
United States Ninth Circuit
Securities Law
Affirmed 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 Law
Held 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, LP
United States Second Circuit
Securities Law
Held 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. Schooler
United States Ninth Circuit
Securities Law
Held 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
Northstar Financial Advisors, Inc. v. Schwab Investments
United States Ninth Circuit
Securities Law
Affirmed the dismissal of an investment adviser's proposed class action alleging that an investment firm operated a bond market fund in a manner that...
09/14/2018 16-15303
Taksir v. Vanguard Group
United States Third Circuit
Securities Law
Held that two investors could proceed with their proposed class action lawsuit alleging that an investment services company breached a contract with...
09/04/2018 17-3585
Lemelson v. Bloomberg L.P.
United States First Circuit
Injury & Tort Law, Securities Law, Media Law
Affirmed the dismissal of a defamation suit brought by a hedge fund manager who claimed Bloomberg News falsely reported that he was being investigated...
08/30/2018 17-1620
Olagues v. Perceptive Advisors LLC
United States Second Circuit
Securities Law
Affirmed the dismissal of a lawsuit alleging unlawful insider-trading in option contracts. This case involved a dispute over how Section 16(b) of the...
08/27/2018 17-2703-cv
Arctic Glacier International, Inc. v. Arctic Glacier Income Fund
United States Third Circuit
Securities Law, Bankruptcy Law
Affirmed the dismissal of a lawsuit brought by investors of a bankrupt company who claimed they were entitled to dividend payments. The investors, who...
08/20/2018 17-2522

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