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Name Category Published
SEC v. Colello
SEC can recover from nominal non-party defendant where money was obtained by fraud. 		Securities Jun. 4, 1999
Richards v. Lloyd's of London
Antiwaiver provisions of securities acts don't void choice of law provisions in international insurance underwriting agreement. 		Securities May 21, 1999
Cooper v. Pickett
Fraud liability is based on statements to analyst by corporate insiders with intent to reach market. 		Securities May 21, 1999
Griggs v. Pace American Group Inc.
Under 1934 Act, former shareholder who exchanges stock for contingent rights to receive shares, has standing to sue as stock 'purchaser.' 		Securities May 20, 1999
Steckman v. Hart Brewing Inc.
Securities registrant must disclose only known adverse trends from which material impact is reasonably expected. 		Securities May 11, 1999
Partnership Exchange Securities Co. v. National Association of Securities Dealers Inc.
National Association of Securities Dealers is immune to trader's claims based on disciplinary actions against the trader. 		Securities Apr. 29, 1999
Batchelder v. Kawamoto
American Depository Receipt holder has no derivative claim if foreign law limits standing to shareholders of record. 		Securities Apr. 13, 1999
Batchelder v. Kawamoto
American Depository Receipt holder has no derivative claim if foreign law limits standing to shareholders of record. 		Securities Apr. 7, 1999
McLachlan v. Simon
Shareholders have right of action under statute barring breach of fiduciary duty in registered investment company. 		Securities Mar. 12, 1999
McKey v. Charles Schwab and Co.
Claims for breach of fiduciary duty and bad faith involving 'order flow payments' are pre-empted by federal law. 		Securities Mar. 11, 1999
Sparta Surgical Corp. v. National Assn. of Securities Dealers Inc.
Private market regulator performing quasi-governmental functions entitled to immunity for suspension of trading. company' securities. 		Securities Mar. 11, 1999
Diamond Multimedia Systems Inc. v. Pass
Out-of-state security buyers and sellers entitled to civil remedy for market manipulation of stock prices. 		Securities Feb. 19, 1999
Cohig & Associates Inc. v. Stamm
Order 		Securities Sep. 21, 1998
Viernow v. Euripides Development Corp.
Investor's failure to show corporation's alleged misrepresentations caused him to suffer loss precludes negligence claim. 		Securities Sep. 15, 1998
Sterlin v. Biomune Systems
Factual article highly critical of claims by company triggers inquiry notice and may commence limitations period. 		Securities Sep. 3, 1998
Benedetto v. Painewebber Group Inc.
Order 		Securities Sep. 2, 1998
State of Oklahoma v. Stifel Nicolaus & Company Inc.
Order 		Securities Aug. 9, 1998
Maher v. Durango Metals Inc.
Investor suing alleged control persons must establish facts showing actual control of primary violator. 		Securities May 19, 1998
Bondiett v. Novell, Inc.
Order 		Securities Apr. 15, 1998
In re American Continental Corp./Lincoln Savings & Loan Securities Litigation
Court can transfer case to itself after coordinated/consolidated pretrial proceedings in multidistrict litigation. 		Securities Mar. 17, 1998
Markgraf v. Storage Technology Corporation
Order 		Securities Jan. 30, 1998
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