Employment of manipulative and deceptive devices
| Currency | Current through May 31, 2023 |
| Citation | 17 C.F.R. §240.10b-5 |
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22 cases
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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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Garfield v. Ndc Health Corp., No. 05-14765.
...causes of action in its Second Amended Complaint: (1) securities fraud pursuant to Section 10(b), 15 U.S.C. § 78j(b) and Rule 10b-5, 17 CFR § 240.10b-5; and (2) violation of Section 20(a) of the Exchange Act, 15 U.S.C. The gravamen of the Second Amended Complaint is that during the class pe......
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25 books & journal articles
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Section 13 Causation
...Cir. 1986); see also Basic Inc. v. Levinson, 485 U.S. 224, 243 (1988) (citation omitted) ("[R]eliance is an element of a Rule 10b-5, 17 C.F.R. § 240.10b-5, cause of action. Reliance provides the requisite causal connection between a defendant's misrepresentation and a plaintiff's injury.").......
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Section 10 Causation
...courts had applied common law fraud principles to the implied right of action under § 10(b), 15 U.S.C. § 78j(b), and Rule 10b-5, 17 C.F.R. § 240.10b-5. Basic Inc. v. Levinson, 485 U.S. 224, 253 (1988) (White, J.). As a result, plaintiffs were required to prove that the defendant’s misrepres......
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Section 25 Elements of a Claim for Unsuitable Recommendations
...N.W.2d 776, 801 (Neb. 2006), most often an unsuitability claim will be brought as a federal Securities Exchange Act Rule 10b-5 claim, 17 C.F.R. § 240.10b-5. See Myers, 724 N.W.2d at 801; Banca Cremi,S.A. v. Alex. Brown & Sons,Inc., 132 F.3d 1017, 1032 (4th Cir. 1997); see also § 8.9, supra.......
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Section 12 In Connection With the Purchase or Sale of a Security
...must show that the defendant's fraudulent conduct was "in connection with the purchase or sale" of a security. 15 U.S.C. § 78j; 17 C.F.R. § 240.10b-5. The United States Supreme Court has stated that this requirement is satisfied if the fraud "touches" the purchase or sale of the securities.......
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