all - Opinion Summaries

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Description Date Docket #
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
Rivera v. Allstate Insurance Co.
United States Seventh Circuit
Securities Law, Injury & Tort Law, Labor & Employment Law
In an amended opinion, overturned a $27 million jury verdict obtained by four portfolio managers who were fired after being accused of engaging in...
01/14/2019 17-1310
Gupta v. US
United States Second Circuit
Securities Law, Criminal Law & Procedure
Affirmed the denial of federal habeas relief to a man convicted of securities fraud, in an insider trading case.
01/11/2019 15‐2707
US v. Klein (Schulman)
United States Second Circuit
Securities Law, Criminal Law & Procedure
Affirmed a criminal conviction of securities fraud in a case where the defendant (an attorney) tipped his friend and financial advisor about an...
01/10/2019 17‐3355
Janvey v. GMAG, L.L.C.
United States Fifth Circuit
Securities Law, Banking Law
Held that investors were not entitled to retain millions of dollars in fraudulent transfers received while on inquiry notice of a Ponzi scheme. They...
01/09/2019 17-11526

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