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Browse: Home / Reversals

Reversals

What a Judge’s Rare Reversal Means in the Platinum Partners Fraud Case – The New York Times

By Securities Docket on November 12, 2019, 9:29 am

Judge Brian M. Cogan found there was insufficient evidence of criminal intent to convict Mr. Levy, and granted Mr. Nordlicht a new trial. In July, a jury had found the men, both executives at Platinum Partners, guilty of securities fraud, conspiracy to commit securities fraud and conspiracy to commit wire fraud. The case revolved around […]

Posted in Criminal, Top | Tagged Reversals

Appeals Court Revives Insider Trading Case Against Obus

Appeals Court Revives Insider Trading Case Against Obus

By Securities Docket on September 7, 2012, 1:53 pm

Second Circuit revives decade-old SEC insider-trading case against Nelson J. Obus, a New York hedge fund manager.

Posted in SEC, Top | Tagged Appellate, Insider Trading, Reversals

In 'Squawk Box' Case, a Delicate Line for Prosecutors

In ‘Squawk Box’ Case, a Delicate Line for Prosecutors

By Securities Docket on August 8, 2012, 1:17 pm

Appeals court reverses convictions of six brokers and traders in “squawk box” case.

Posted in Criminal, Top | Tagged Appellate, Reversals

Appeals Court Reverses Convictions in ‘Squawk Box’ Trial

By Securities Docket on August 6, 2012, 12:22 pm

In a setback for the government, a group of ex-stock brokers and day traders have won a reversal of their criminal convictions from a federal appeals court three years after they were found guilty of using brokerage-firm “squawk boxes” to gain an improper advantage in trading stocks. via Appeals Court Reverses Convictions in ‘Squawk Box’ […]

Posted in Criminal, Top | Tagged Reversals

Conviction of Former Refco Lawyer Is Overturned

Conviction of Former Refco Lawyer Is Overturned

By Securities Docket on January 10, 2012, 2:17 pm

Appeals court reverses conviction of Joseph P. Collins, a former outside lawyer to Refco.

Posted in Criminal, Top | Tagged Convictions, Reversals

Fourth Circuit Reverses Dismissal of Securities Class Action Against Janus Capital Group

Fourth Circuit Reverses Dismissal of Securities Class Action Against Janus Capital Group

By Securities Docket on May 13, 2009, 9:47 am

On May 7, 2009, the U.S. Court of Appeals for the Fourth Circuit reversed a lower court ruling dismissing a securities class action against Janus Capital Group.  The Fourth Circuit held that plaintiffs’ claim against a subsidiary, Janus Capital Management, for violation of section 10(b) of the Exchange Act had been adequately pled, as was […]

Posted in Class Actions | Tagged Appellate, Reversals

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