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A Missed Opportunity in Securities Fraud Enforcement

10 Jul 2019, 9:05 pm by Andrew N. Vollmer

In a 2008 case, Stoneridge Investment Partners, LLC v. [read post]

United States Supreme Court Holds That Knowing Dissemination of False Statements Made by Others Can Constitute Primary “Scheme Liability” In Violation of Rule 10b-5(a) and (c)

1 Apr 2019, 10:29 am by John Stigi

” We note that although the Court did not explain the legal basis for which it would be “inappropriate” to hold a “mailroom clerk” or other “tangential” persons primarily liable for disseminating false or misleading statements made by others, that basis would appear to be the separate requirement set forth in Stoneridge Investment Partners, LLC v. [read post]

Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/

Guest Post: D&O What to Know: A Guide to the Evolution of Directors and Officers Insurance from 1933 to the Present

22 Feb 2016, 4:36 pm by Kevin LaCroix

In 1968, a court decision, Escott v. [read post]

The D & O Diary - http://www.dandodiary.com/

Second Circuit Clarifies that Allegations of Direct Fraudulent Representations Are Not Necessary for Market Manipulation Claims Under Section 10(b) and Rule 10b-5

11 Feb 2015, 11:31 am by John Stigi

Scientific-Atlanta, Inc., 552 U.S. 148 (2008) (see blog article here). [read post]

Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/

U.S. Supreme Court Decision Gives More Latitude to Defeat Securities Fraud Class Action Lawsuits Prior to Class Certification

25 Jun 2014, 9:58 am by John Stigi

Scientific Atlanta, Inc., 552 U.S. 148 (2008), or decisions governing class action certification, including Wal-Mart Stores, Inc. v. [read post]

Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/

Second Circuit Holds that Allegations of Direct Fraudulent Representations Are Necessary for Market Manipulation Claims Under Section 10(b) and Rule 10b-5

24 May 2013, 10:09 am

However, the district court held, none of those items satisfied the requirement under Stoneridge Investment Partners, LLC v. [read post]

Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/

Transfer Agent Fee Litigation Saga (Almost) Comes to an End

22 Aug 2012, 1:09 am

Partners, LLC v. [read post]

InsureReinsure.Com: The Insurance & Reinsurance Blog - http://www.insurereinsure.com/

Evidence of Turning Blind Eye to Client's Fraud Earns Trial for Audit Firm, Second Circuit Rules

21 Jul 2012, 9:35 am by Barry Barnett

The Court in Stoneridge Investment Partners LLC v. [read post]