| Description | Date | Docket # |
|---|---|---|
Broyles v. Cantor Fitzgerald & Co.United States Fifth Circuit
Civil Procedure, Securities Law
Vacated. The district court erred in finding that plaintiffs lacked standing under Delaware law to bring a direct action against investment advisors...
|
08/28/2019 | 17-30092 |
USSEC v. Hui FengUnited States Ninth Circuit
Securities Law
Affirmed. The panel agreed with the district court that the EB-5 investments in this case constituted “securities” in the form of investment...
|
08/23/2019 | 17-56522 |
Municipal Employees' Retirement System of MI v. Pier 1 ImportsUnited States Fifth Circuit
Securities Law, Civil Procedure
Affirmed. Investors who alleged that Pier 1 Imports was a trend-based fashion retailer with inventory that carried a significant markdown risk they...
|
08/19/2019 | 18-10998 |
Twin Rivers Paper Company LLC v. SECUnited States DC Circuit
Banking Law, Administrative Law, Securities Law, Civil Procedure
Petition for review denied. A consumer advocacy organization and representatives of the paper industry sued over an SEC rule allowing investment...
|
08/16/2019 | 18-1213 |
Mass v. Franchise Tax Bd.California Court of Appeal
Securities Law, Tax Law
Affirmed. Plaintiffs bought shares in a company that invests in government bonds. Plaintiffs contend that the dividends they received are exempt from...
|
08/15/2019 | B286857 |
CFTC v. Monex Credit Co.United States Ninth Circuit
Securities Law, Consumer Protection Law
Reversed district court’s dismissal of Plaintiff’s enforcement action against Defendant for alleged fraud in precious metal sales. Defendant...
|
07/25/2019 | 18-55815 |
US v. AfriyieUnited States Second Circuit
Securities Law, Asset Forfeiture
Affirmed in part, vacated in part, remand. A jury found Defendant guilty of two counts of securities fraud and wire fraud. Defendant was sentenced to...
|
07/08/2019 | 17-2444 L |
Lindie Banks v. Northern Trust Corp.United States Ninth Circuit
Securities Law, Civil Procedure
Reversed. The district court dismissed Plaintiff's complaint as barred by the Securities Litigation Uniform Standards Act of 1998, which deprives a...
|
07/05/2019 | 17-56025 |
SEC v. Arcturus Corporation, et alUnited States Fifth Circuit
Securities Law, Oil and Gas Law
Plaintiff, SEC, filed suit against Defendant for failure to register interests in oil and gas drilling projects as securities. District court granted...
|
06/27/2019 | 17-10503 |
SEC v. Stanford International Bank Ltd.United States Fifth Circuit
Securities Law, Insurance Law
Addressed insurance coverage issues in a securities fraud case. Held that the district court abused its discretion in approving a settlement agreement...
|
06/17/2019 | 17-10663 |