Employment of manipulative and deceptive devices

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23 cases
  • Sec. & Exch. Comm'n v. Pentagon Capital Mgmt. PLC, 08 Civ. 3324
    • United States
    • U.S. District Court — Southern District of New York
    • February 14, 2012
    ...to Section 17(a) of the Securities Act, 15 U.S.C. § 77q (a), Section 10(b) of the Exchange Act, 15 U.S.C. § 78j (b), and Rule 10b-5, 17 C.F.R. § 240.10b-5, promulgated thereunder. Those sections are among the federal securities laws' antifraud provisions that "prohibit the use of fraudulent......
  • In re New York City Municipal Securities Litigation
    • United States
    • U.S. District Court — Southern District of New York
    • January 25, 1980
    ...Securities Exchange Act of 1934 (the "Exchange Act" or the "1934 Act"), 15 U.S.C. § 78j(b), and Rule 10b-5 promulgated thereunder, 17 C.F.R. § 240.10b-5. Eleven separate lawsuits have been consolidated for pretrial matters in this litigation.3 In five of the actions, the City is named as a ......
  • Twin Master Fund, Ltd. v. Akorn, Inc.
    • United States
    • U.S. District Court — Northern District of Illinois
    • February 5, 2020
    ...fraud-based claims: (1) violation of section 10(b) the Securities Exchange Act of 1934, 15 U.S.C. §§ 78j(b), and SEC Rule 10b-5, 17 C.F.R. § 240.10b-5 (count 1); (2) violation of section 18 of the Act, 15 U.S.C. §§ 78r(a) (count 3); and (3) common law fraud (count 4).3 In July 2019, Manikay......
  • Sec. And Exch. Comm'n v. Tee To Green Golf Parks Inc
    • United States
    • U.S. District Court — Western District of New York
    • January 18, 2011
    ...that Tee to Green and Blumhagen violated federal securities laws, specifically 15 U.S.C. §§ 77e(a) and 77e(c), 77q(a), 78j(b) and 17 C.F.R. § 240.10b-5. (Id. at ¶¶ 61-73.) It further alleges, that Susan Blumhagen violated 15 U.S.C. §§ 77q(a) and 78j(b), and 17 C.F.R. § 240.10b-5, or alterna......
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