Category Archives: Securities Law

Securities

October 4, 2019 – 1:19 pm

Multiple class action lawsuits were filed on behalf of shareholders of a Maryland corporation trading on the NYSE, alleging that the corporation and its officers and directors violated Section 10(b) and 20(a) of the Securities Exchange Act of 1934.  The plaintiffs claimed that the defendants exploited a “hot market” by announcing it was entering the […]

By Margy Van Winkle | Tagged | Comments Off on Securities

Securities Law

January 9, 2011 – 11:53 pm

Large agricultural company brought action against a broker resulting from sale of a SIV-Lite note which was backed by sub-prime mortgages. Originally rated A1+/PI, the commercial paper was downgraded the week after the sale and the issuer defaulted. The purchaser claimed it was not a QIB, that the Indiana Securities was breached, as were fiduciary […]

By Margy Van Winkle | Tagged | Comments Off on Securities Law

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