Case # | Name | Category | Court | Judge | Published |
---|---|---|---|---|---|
95-56688
|
SEC v. Colello
SEC can recover from nominal non-party defendant where money was obtained by fraud. |
Securities |
|
Jun. 4, 1999 | |
95-55747 and 95-56467
|
Richards v. Lloyd's of London
Antiwaiver provisions of securities acts don't void choice of law provisions in international insurance underwriting agreement. |
Securities |
|
May 21, 1999 | |
95-55657
|
Cooper v. Pickett
Fraud liability is based on statements to analyst by corporate insiders with intent to reach market. |
Securities |
|
May 21, 1999 | |
97-16619
|
Griggs v. Pace American Group Inc.
Under 1934 Act, former shareholder who exchanges stock for contingent rights to receive shares, has standing to sue as stock 'purchaser.' |
Securities |
|
May 20, 1999 | |
97-55199
|
Steckman v. Hart Brewing Inc.
Securities registrant must disclose only known adverse trends from which material impact is reasonably expected. |
Securities |
|
May 11, 1999 | |
97-16497
|
Partnership Exchange Securities Co. v. National Association of Securities Dealers Inc.
National Association of Securities Dealers is immune to trader's claims based on disciplinary actions against the trader. |
Securities |
|
Apr. 29, 1999 | |
96-56565
|
Batchelder v. Kawamoto
American Depository Receipt holder has no derivative claim if foreign law limits standing to shareholders of record. |
Securities |
|
Apr. 13, 1999 | |
96-56565
|
Batchelder v. Kawamoto
American Depository Receipt holder has no derivative claim if foreign law limits standing to shareholders of record. |
Securities |
|
Apr. 7, 1999 | |
97-1258
|
McLachlan v. Simon
Shareholders have right of action under statute barring breach of fiduciary duty in registered investment company. |
Securities |
|
Mar. 12, 1999 | |
B107907
|
McKey v. Charles Schwab and Co.
Claims for breach of fiduciary duty and bad faith involving 'order flow payments' are pre-empted by federal law. |
Securities |
|
Mar. 11, 1999 | |
97-15394
|
Sparta Surgical Corp. v. National Assn. of Securities Dealers Inc.
Private market regulator performing quasi-governmental functions entitled to immunity for suspension of trading. company' securities. |
Securities |
|
Mar. 11, 1999 | |
S058723
|
Diamond Multimedia Systems Inc. v. Pass
Out-of-state security buyers and sellers entitled to civil remedy for market manipulation of stock prices. |
Securities |
|
Feb. 19, 1999 | |
97-1119
|
Cohig & Associates Inc. v. Stamm
Order |
Securities |
|
Sep. 21, 1998 | |
96-4153
|
Viernow v. Euripides Development Corp.
Investor's failure to show corporation's alleged misrepresentations caused him to suffer loss precludes negligence claim. |
Securities |
|
Sep. 15, 1998 | |
97-4074
|
Sterlin v. Biomune Systems
Factual article highly critical of claims by company triggers inquiry notice and may commence limitations period. |
Securities |
|
Sep. 3, 1998 | |
96-3401
|
Benedetto v. Painewebber Group Inc.
Order |
Securities |
|
Sep. 2, 1998 | |
97-6360
|
State of Oklahoma v. Stifel Nicolaus & Company Inc.
Order |
Securities |
|
Aug. 9, 1998 | |
97-1025
|
Maher v. Durango Metals Inc.
Investor suing alleged control persons must establish facts showing actual control of primary violator. |
Securities |
|
May 19, 1998 | |
97-4054
|
Bondiett v. Novell, Inc.
Order |
Securities |
|
Apr. 15, 1998 | |
95-15759
|
In re American Continental Corp./Lincoln Savings & Loan Securities Litigation
Court can transfer case to itself after coordinated/consolidated pretrial proceedings in multidistrict litigation. |
Securities |
|
Mar. 17, 1998 | |
97-1166
|
Markgraf v. Storage Technology Corporation
Order |
Securities |
|
Jan. 30, 1998 |