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Publication Date: 2020-04-20
Practice Area: Administrative Law | Securities Litigation
Industry: Financial Services and Banking | Federal Government
Court: U.S. Court of Appeals for the Second Circuit
Judge: Circuit Judge Richard Sullivan
Attorneys: For plaintiff: For Petitioner: Jason D. Wright on the brief, Andrew J. Frisch, The Law Offices of Andrew J. Frisch, New York, NY.
for defendant: For Respondent: Mark B. Stern, Mark R. Freeman, Melissa N. Patterson, Megan Barbero, Daniel Aguilar, Tyce R. Walters, on the brief, Joshua M. Salzman, for William P. Barr, Attorney General, U.S. Department of Justice, Washington, DC.
For Respondent: Dominick V. Freda on the brief, Paul G. Alvarez, Senior Counsel, for Michael A. Conley, Solicitor, Securities and Exchange Commission, Washington, DC.
Case Number: 16-3433
SEC Order Upholding Fine, Bans for Securities Fraud, Aiding and Abetting Affirmed
Publication Date: 2020-04-17
Practice Area: Securities Litigation
Industry:
Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
Judge: District Judge Kimba Wood
Attorneys: For plaintiff:
for defendant:
Case Number: 14-CV-9912
Trade of Korean Futures on Korea Exchange Using Globex Not Subject to CME Regulations
Publication Date: 2020-04-06
Practice Area: Securities Litigation
Industry:
Court: U.S. District Court for the Northern District of New York, U.S. - NDNY
Judge: District Judge Glenn Suddaby
Attorneys: For plaintiff: Counsel for Plaintiff Christina Lewis: Phillip Kim, Esq., of Counsel, The Rosen Law Firm, New York, NY.
for defendant: Counsel for Plaintiff City of Warwick Ret. Fund: Jeffrey P. Campisi, Esq., Donald R. Hall, Esq., Jason Uris, Esq., of Counsel, Kaplan Fox & Kilsheimer LLP, New York, NY.
Co-Counsel for Plaintiff City of Warwick Ret. Fund: George H. Lowe, Esq., Jonathan B. Fellows, Esq., of Counsel, Bond Schoneck & King, PLLC, Syracuse, NY.
Counsel for Plaintiff Peter Szabo: Emma Gilmore, Esq., Jeremy A. Liberman, Esq., Joseph A. Hood, II, Esq., Michael J. Wernke, Esq., Samuel Adams, Esq., Veronica Montenegro, Esq., Villi A. Shteyn, Esq., of Counsel, Pomerantz LLP, New York, NY.
Co-Counsel for Plaintiff Peter Szabo: Garth Spencer, Esq., of Counsel, Glancy Prongay & Murray LLP, New York, NY.
Counsel for Defendants: Ann M. Ashton, Esq., Jonathan E. Richman, Esq., Ralph C. Ferrara, Esq., of Counsel, Proskauer Rose LLP, Washington, D.C.
Co-Counsel for Defendants: Daniel J. French, Esq., David G. Burch, Jr., Esq., Anneliese Aliasso, Esq., of Counsel, Barclay Damon LLP, Syracuse, NY.
Case Number: 1:19-CV-0001
Claim Not Stated in Securities Fraud Suit Over Re-Weigh System Overcharging Customers
Publication Date: 2020-04-02
Practice Area: Class Actions | Securities Litigation
Industry: Automotive | E-Commerce
Court: Supreme Court, New York
Judge: Justice Andrew Borrok
Attorneys: For plaintiff:
for defendant:
Case Number: 650427/2019
Statements Concerning Value of Inspections Do Not Give Rise to Securities Class Action
Publication Date: 2020-04-01
Practice Area: Contractual Disputes | Securities Litigation
Industry:
Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
Judge: District Judge Naomi Reice Buchwald
Attorneys: For plaintiff:
for defendant:
Case Number: 18 Civ. 3634
Transactions Not Usurious But 'Right' to Shares Under Cashless Exercise Formula Denied
Law Journal Press | Digital Book
Authors: HON. ELIOT D. PRESCOTT, JULIE A. LAVOIE
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Publication Date: 2020-03-31
Practice Area: Securities Litigation
Industry:
Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
Judge: District Judge Kenneth Karas
Attorneys: For plaintiff: Counsels for Plaintiff: Anthony B. Ullman, Esq., Timothy Jon Straub, Esq., Dentons US LLP, New York, NY.
for defendant: Counsel for Defendant Kenneth Shubin Stein: Robert A. O'Hare, Jr., Esq., O'Haire Parnagian LLP, New York, NY.
Counsel for Defendants Spencer Capital Limited and Spencer Capital Holdings Ltd: Lea Haber Kuck, Esq., Colm P. McInerney, Esq., Skadden, Arps, Slate, Meagher & Flom LLP, New York, NY
Case Number: 18-CV-11362
Parties' Stock Purchase Transaction Not 'Domestic' For Exchange Act Purposes
Publication Date: 2020-03-30
Practice Area: Securities Litigation
Industry:
Court: U.S. District Court for the Eastern District of New York, U.S.- EDNY
Judge: District Judge Nicholas Garaufis
Attorneys: For plaintiff:
for defendant:
Case Number: 18-CV-5075
Joinder, Limitations Claims Rejected in Denial of Securities Fraud Charges' Dismissal
Publication Date: 2020-03-23
Practice Area: Creditors' and Debtors' Rights | International Law | Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Second Circuit
Judge: Per Curiam
Attorneys: For plaintiff: For Plaintiffs-Appellants: Michael C. Spencer, Milberg Tadler Phillips Grossman, LLP, New York, NY.
for defendant: For Defendant-Appellee: Carmine D. Boccuzzi, Jr., on the brief, Rahul Mukhi, Cleary Gottlieb Steen & Hamilton LLP, New York, NY.
Case Number: 19-379
Court Did Not Decide Issue of Argentina Bond Subscribers' Retention of Enforcement Rights
Publication Date: 2020-03-19
Practice Area: Securities Litigation
Industry: Financial Services and Banking | Investments and Investment Advisory
Court: U.S. District Court for the Southern District of New York, U.S. - SDNY
Judge: District Judge Louis Stanton
Attorneys: For plaintiff:
for defendant:
Case Number: 12 Civ. 6166
Claims Over Two RMBS Certificates Dismissed; RBS Securities Was Subordinated Underwriter
Publication Date: 2020-03-09
Practice Area: Securities Litigation
Industry:
Court: U.S. District Court for the Eastern District of New York, U.S. - EDNY
Judge: District Judge Nicholas Garaufis
Attorneys: For plaintiff:
for defendant:
Case Number: 19-CV-1424
Investor Had Largest Individual Loss in Case Against Chinese Electric Vehicle Maker
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