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Publication Date: 2017-11-03
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: Court of Appeals, 4th District
Judge: Justice Benke
Attorneys: For plaintiff:
for defendant:
Case Number: D071392
Doctrine of exhaustion of remedies barred challenge to FINRAs publication of securities brokers disciplinary history
Publication Date: 2017-08-28
Practice Area: Securities Litigation | Class Actions
Industry: Investments and Investment Advisory
Date Filed: 2017-08-24
Court: 9th Cir.
Judge: Cormac J. Carney, District Judge, Presiding Before: Sidney R. Thomas, Chief Judge, Stephen Reinhardt, Circuit Judge, and Edward R. Korman,* District Judge.
Attorneys: For plaintiff: Nicholas I. Porritt (argued) and Adam M. Apton, Levi & Korsinsky LLP, Washington, D.C.; Jeff S. Westerman, Westerman Law Corp., Los Angeles, California; for Plaintiff-Appellant.
for defendant: Matthew L. Larrabee (argued) and Joshua D.N. Hess, Dechert LLP, San Francisco, California; David A. Kotler, Dechert LLP, Princeton, New Jersey; Frank D. Rorie Jr., Law Office of Frank D. Rorie Jr., West Hollywood, California; John D. Donovan, Robert A. Skinner, and Amy D. Roy, Ropes & Gray LLP, Boston, Massachusetts; John C. Ertman, New York, New York; Ronald Rus and Randall A. Smith, Brown Rudnick LLP, Irvine, California; for Defendants-Appellees.
Case Number: No. 15-56841
Class action claims barred under Securities Litigation Uniform Standards Act must be dismissed without prejudice (Korman, J.)
Publication Date: 2017-08-21
Practice Area: Securities Litigation
Industry: Biotechnology | Investments and Investment Advisory
Date Filed: 2017-08-18
Court: 9th Cir.
Judge: Ricardo S. Martinez, Chief Judge, Presiding Before: Ronald M. Gould and Richard A. Paez, Circuit Judges, and Ivan L.R. Lemelle,*District Judge.
Attorneys: For plaintiff: Marc Ian Gross (argued), Jeremy Lieberman, and Michael J. Wernke, Pomerantz LLP, New York, New York; Jeffrey C. Block, Whitney E. Street, and Mark A. Delaney, Block & Leviton LLP, Boston, Massachusetts; Dan Drachler, Zwerling Schachter & Zwerling LLP, Seattle, Washington; for Plaintiffs-Appellants.
for defendant: Gregory L. Watts (argued), and Barry M. Kaplan, Wilson Sonsini Goodrich & Rosati, Seattle, Washington; Cheryl W. Foung, Wilson Sonsini Goodrich & Rosati, Palo Alto, California; for Defendants-Appellees.
Case Number: No. 14-35933
Securities fraud class action adequately alleged falsity and materiality of claims that company's product was FDA-approved (Gould, J.)
Publication Date: 2017-07-31
Practice Area: Securities Litigation | Information Governance and Compliance
Industry: Investments and Investment Advisory
Date Filed: 2017-07-28
Court: 9th Cir.
Judge: Cormac J. Carney, District Judge, Presiding Before: Stephen Reinhardt, William A. Fletcher, and Richard A. Paez, Circuit Judges.
Attorneys: For plaintiff: Joseph D. Daley (argued), Christopher D. Stewart, and Robert R. Henssler, Jr., Robbins Geller Rudman & Dowd LLP, San Diego, California; Benjamin Galdston, Blair A. Nicholas, Brandon Marsh, and Lucas E. Gilmore, Bernstein Litowitz Berger & Grossmann LLP, San Diego, California; Avi Josefson and Gerald Silk, Bernstein Litowitz Berger & Grossman LLP, New York, New York; Stephen H. Cypen, Cypen & Cypen, Miami Beach, Florida; for Plaintiffs-Appellants.
for defendant: Peter A. Wald (argued), Latham & Watkins, San Francisco, California; Andrew R. Gray and Michele D. Johnson, Latham & Watkins LLP, Costa Mesa, California; Colleen C. Smith, Latham & Watkins LLP, San Diego, California; for Defendants-Appellees.
Case Number: No. 15-55173
Non-forward-looking statements not eligible for PSLRA safe harbor protection even when combined with forward-looking statements (W. Fletcher, J.)
Publication Date: 2017-06-26
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Date Filed: 2017-06-26
Court: U.S. Sup. Ct.
Judge:
Attorneys: For plaintiff:
for defendant:
Case Number: No. 16–373
Statute of limitations on securities purchaser's cause of action for material misstatement or omission in registration statement not subject to equitable tolling (Kennedy, J.)
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Publication Date: 2017-06-05
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Date Filed: 2017-06-05
Court: U.S. Sup. Ct.
Judge:
Attorneys: For plaintiff:
for defendant:
Case Number: No. 16–529
SEC disgorgement operates as penalty for purposes of five-year statutory limitations period (Sotomayor, J.)
Publication Date: 2017-03-24
Practice Area: Civil Appeals | Bankruptcy | Securities Litigation
Industry: Investments and Investment Advisory
Date Filed: 2017-03-24
Court: 9th Cir.
Judge: Cormac J. Carney, District Judge, Presiding Before: Consuelo M. Callahan, Carlos T. Bea, and Sandra S. Ikuta, Circuit Judges.
Attorneys: For plaintiff: Michael B. Reynolds (argued) and Todd E. Lundell, Snell & Wilmer LLP, Costa Mesa, California; Blaine H. Evanson, M. Sean Royall, and Theodore J. Boutrous, Jr., Gibson Dunn & Crutcher LLP, Los Angeles, California; for Appellant.
for defendant: Michele Arington (argued), Kimberly Nelson, and Megan Bartley, Attorneys; Joel Marcus, Director of Litigation; Federal Trade Commission, Washington, D.C., for Appellee.
Case Number: No. 15-55510
No appellate jurisdiction over order remanding adversary action to bankruptcy court for further fact finding. (Ikuta, J.)
Publication Date: 2017-03-08
Practice Area: Securities Litigation | Employment Litigation
Industry: Investments and Investment Advisory
Date Filed: 2017-03-08
Court: 9th Cir.
Judge: Edward M. Chen, District Judge, Presiding Before: Mary M. Schroeder, Kim McLane Wardlaw, and John B. Owens, Circuit Judges.
Attorneys: For plaintiff: Stephen F. Henry, Esq. (argued), Berkeley, California, for Plaintiff-Appellee.
for defendant: Brian T. Ashe (argued) and Tamara H. Fisher, Seyfarth Shaw LLP, San Francisco, California; Kyle A. Petersen, Seyfarth Shaw LLP, Chicago, Illinois; for Defendants-Appellants.
Case Number: No. 15-17352
Cite as 17 C.D.O.S. 2130 PAUL SOMERS, Plaintiff-Appellee, v. DIGITAL REALTY TRUST I
Publication Date: 2017-02-02
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Date Filed: 2017-02-02
Court: 9th Cir.
Judge: Before: Consuelo M. Callahan, and N. Randy Smith, Circuit Judges, and Jed S. Rakoff,* District Judge.
Attorneys: For plaintiff: Howard Feigenbaum (argued), Hemet, California, pro se Petitioner.
for defendant: Nicholas Bronni (argued), Senior Counsel; William K. Shirey, Assistant General Counsel; Jacob H. Stillman, Solicitor; Anne K. Small, General Counsel; Securities and Exchange Commission, Washington, D.C.; for Respondent.
Case Number: No. 13-73199
Cite as 17 C.D.O.S. 985 SHAREMASTER, Petitioner, v. U.S. SECURITIES & EXCHANGE COMMI
Publication Date: 2017-01-19
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Date Filed: 2017-01-19
Court: 9th Cir.
Judge: Jon S. Tigar, District Judge, Presiding Before: Marsha S. Berzon and N. Randy Smith, Circuit Judges and Dana L. Christensen,* Chief District Judge.
Attorneys: For plaintiff: Ira M. Press (argued), Mark A. Strauss, and Thomas W. Elrod, Kirby McInerney LLP, New York, New York; for Plaintiff-Appellant.
for defendant: Marc J. Sonnenfeld (argued), Karen Pieslak Pohlmann, and Laura Hughes McNally, Morgan Lewis & Bockius LLP, Philadelphia, Pennsylvania; Thomas M. Peterson and Joseph E. Floren, Morgan Lewis & Bockius LLP, San Francisco, California; Robert E. Gooding, Morgan Lewis & Bockius LLP, Irvine, California; for Defendant-Appellee Hewlett-Packard Company.
Case Number: No. 14-16433
Cite as 17 C.D.O.S. 493 RETAIL WHOLESALE & DEPARTMENT STORE UNION LOCAL 338 RETIREMENT FUND, Plaintiff-Appellan
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