Employment of manipulative and deceptive devices
Currency | Current through May 31, 2023 |
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23 cases
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Sec. & Exch. Comm'n v. Pentagon Capital Mgmt. PLC, 08 Civ. 3324
...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......
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In re New York City Municipal Securities Litigation
...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 ......
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Twin Master Fund, Ltd. v. Akorn, Inc.
...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......
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Sec. And Exch. Comm'n v. Tee To Green Golf Parks Inc
...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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