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Tag Archives: Securities Fraud

Second Circuit – Securities Fraud: In re: Advanced Battery Technologies

U.S. Court of Appeals for the Second Circuit – Securities Fraud – Recklessness – Accounting Standards – Scienter   In re: Advanced Battery Technologies 14-1410-cv Judges Walker, Cabranes and Lohier   Background: The lead plaintiff appealed from an order that ...

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Second Circuit – Securities Fraud: Fezzani v. Bear, Stearns & Co., Inc.

U.S. Court of Appeals for the Second Circuit – Securities Fraud – Sufficiency of the Pleadings – Rehearing   Fezzani v. Bear, Stearns & Co., Inc. 14-3983, 09-4414-cv Judges Winter, Cabranes and Lohier   Background: The plaintiffs petition for a ...

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Second Circuit – Securities Fraud: Fjarde AP-Fonden v. Morgan Stanley

U.S. Court of Appeals for the Second Circuit – Securities Fraud – Required Disclosures – Scienter   Fjarde AP-Fonden v. Morgan Stanley 13-0627-cv Judges Cabranes, Wesley and Livingston   Background: The lead plaintiffs brought a putative securities fraud class action ...

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Second Circuit — Securities Fraud: United States v. Mandell

U.S. Court of Appeals for the Second Circuit  Securities Fraud Extraterritorial Conduct — Domestic Security Transaction United States v. Mandell 12-1967(L) Judges Wesley, Carney and Wallace Background: The defendant appealed from his conviction for numerous counts of conspiracy to commit ...

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Second Circuit — Securities Fraud: Carpenters Pension Trust Fund, et al. v. Barclays PLC, et al.

U.S. Court of Appeals for the Second Circuit Securities Fraud Loss Causation and Materiality Carpenters Pension Trust Fund, et al. v. Barclays PLC, et al. 13-2678-cv Judges Katzmann, Cabranes and Berman Background: The plaintiffs appealed from the dismissal of their ...

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Second Circuit — Securities Fraud: SEC v. Contorinis

U.S. Court of Appeals for the Second Circuit Securities Fraud Disgorgement — No Direct Economic Benefit SEC v. Contorinis 12-1723-cv Judges Lynch, Chin and Carney Background: The defendant appealed from a judgment ordering him to disgorge all profits generated by ...

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Second Circuit — Securities Fraud: USA v. DeMizio

U.S. Court of Appeals for the Second Circuit Securities Fraud Kickback Schemes USA v. DeMizio 12-1293 Judges Newman, Kearse and Livingston Background: The defendant appealed from a conviction of conspiracy to commit honest-services wire fraud and securities fraud and making ...

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Feds charge hedge fund SAC Capital

NEW YORK — The hedge fund operated by embattled billionaire Steven A. Cohen made hundreds of millions of dollars illegally and allowed unprecedented and pervasive insider trading to go unchecked for years, federal prosecutors said in an indictment unsealed Thursday. ...

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Second Circuit — Securities Fraud: United States v. Goffer

U.S. Court of Appeals for the Second Circuit Securities Fraud Wiretap — Conscious Avoidance United States v. Goffer 11-3591-cr(L) Judges Walker, Sack and Wesley Background: The defendants appealed from their convictions of conspiracy to commit securities fraud and securities fraud. ...

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Second Circuit — Securities Fraud — Non-Expert Testimony: United States v. Cuti

U.S. Court of Appeals for the Second Circuit Securities Fraud — Non-Expert Testimony Established Accounting Rules — Hypotheticals United States v. Cuti 11-3756(L) Judges Jacobs, Walker and O’Connor Background: The defendants, former executives of a retail drugstore chain, appealed from their convictions for ...

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