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31 May 2016, 10:12 am
While dismissing the complaint, the court held that “a government investigation, without more, does not trigger a generalized duty to disclose” and the defendants “did not have a duty to disclose … because the securities laws do not impose an obligation on a company to predict the outcome of investigations. [read post]
27 Aug 2012, 6:11 am
One particularly noteworthy development is that not a single securities class action filing thus far in 2012 has named an accounting firm as a defendant, possibly as a result of the Supreme Court's rejection of aiding and abetting liability under the securities laws, emphatically reinforced last year in Janus Capital Group Inc. v. [read post]
27 Aug 2012, 6:11 am
One particularly noteworthy development is that not a single securities class action filing thus far in 2012 has named an accounting firm as a defendant, possibly as a result of the Supreme Court's rejection of aiding and abetting liability under the securities laws, emphatically reinforced last year in Janus Capital Group Inc. v. [read post]
17 Jan 2022, 8:04 am
As I noted in a blog post at the time (here), a prior federal district court decision in the long-running Toshiba securities class action lawsuit established that a non-U.S. company whose Level I ADRs trade in the U.S. can be the subject of a U.S. securities suit – even if the ADRs are unsponsored. [read post]
23 Mar 2017, 4:38 pm
National Australia Bank, the company or companies are subject to the U.S. securities laws. [read post]
7 May 2018, 3:27 am
Wells Fargo has agreed to pay $480 million to settle the securities class action lawsuit arising from the company’s fake customer account scandal. [read post]
23 Feb 2010, 1:34 am
Judge Buchwald also denied the motion to dismiss the plaintiffs’ ’33 Act claims relating to the company’s February 2007 securities offering, but granted the defendants’ motion to dismiss the plaintiffs’ ’33 Act claims relating to the company’s March 2008 securities offering. [read post]
8 Oct 2019, 12:36 pm
The agency is alleging that Heide signed nine months of fraudulent account statements that gave company investors a false sense of security about their investments. [read post]
30 Aug 2020, 11:46 am
If the cell phone is seized as part of an investigation, the security settings, such as passcodes, shield the content from law enforcement. [read post]
22 Jul 2024, 8:02 am
” The complaint alleges that the defendants violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereafter. [read post]
17 May 2020, 6:47 pm
For publicly traded companies, the litigation risks include the possibility of securities class action litigation. [read post]
30 Jul 2018, 6:00 am
Doing so relieves a company from the tension of having to defend against allegations of wrongdoing carried out by its directors or officers while at the same time a stockholder is seeking to prove those same claims against its directors and officers on its behalf. [read post]
14 Feb 2013, 10:00 am
Feb. 1, 2013), the United States Court of Appeals for the Second Circuit affirmed the dismissal of a securities class action lawsuit alleging that defendants violated Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. [read post]
13 Jul 2011, 1:28 am
In the aftermath of Morrison, these foreign claimants have pursued a number of avenues to pursue their claims, including, for example, initiating litigation in the defendant company’s home jurisdiction. [read post]
27 Apr 2017, 5:51 am
A European company once came to my law firm wanting us to assess an arbitration it wanted to bring in Geneva, Switzerland between its China WFOE (the putative plaintiff) and a Chinese domestic company (the defendant) with which it had contracted. [read post]
5 Jun 2017, 1:29 pm
The defendants are (1) a former securities broker previously barred by the SEC; (2) the former CEO of BioCube; (3) an attorney; and (4) an anti-money laundering (AML) consultant. [read post]
18 Apr 2021, 3:01 pm
” The complaint alleges that the defendants violated Section 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [read post]
18 Nov 2014, 3:58 am
Probably most importantly, Chinese companies tend to underestimate the importance of U.S. trial court decisions, often holding back on vigorously defending a lawsuit until appeal. [read post]
8 Oct 2020, 2:32 pm
In the latest COVID-19-related securities class action lawsuit filing, the cruise ship company Royal Caribbean Cruises has been hit with a securities suit alleging that the as the viral disease spread earlier this year the company attempted to soft-pedal its statements about the outbreak’s impact on its operations and bookings, as well as about the safety threat that the outbreak represented for ship crews. [read post]
23 May 2012, 8:29 am
The complaint (which can be found here) names as defendants the company; its CEO and CFO; seven outside directors: and six offering underwriters, asserts claims under Sections 11, 12 and 15, on behalf investors who purchased shares in the Facebook offering. [read post]
