Description Date Docket #
US v. Walters
United States Second Circuit
Securities Law, Criminal Law & Procedure
Affirmed 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)
SEC v. Sethi
United States Fifth Circuit
Securities Law
In 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
Dvorak v. Granite Creek GP Flexcap I
United States Seventh Circuit
Securities Law, Civil Procedure
Affirmed 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. Stewart
United States Second Circuit
Securities Law, Criminal Law & Procedure
Vacated 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 Law
Overturned 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. 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

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