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Affiliated Ute Citizens v. United States
Plaintiffs were former shareholders of the Ute Development Corporation (UDC), which was an organization formed to give these Indians an interest in properties formerly administered by the United States government. UDC appointed a bank as transfer agent for its stock certificates.
United States Supreme Court | 406 U.S. 128 (1972)
Angelastro v. Prudential-Bache Securities, Inc.
The plaintiff, Laura Angelastro, had a margin account with the defendant, Prudential-Bache Securities, Inc. Plaintiff averred that the defendant failed to disclose material facts, such as the variable interest rates available to the defendan's clients.
United States District Court | 113 F.R.D. 579 (D.N.J. 1986)
Basic, Inc. v. Levinson
Basic was publicly traded company engaged in manufacturing refractories for the steel industry. Beginning in 1976, Combustion Engineering, Inc.
United States Supreme Court | 485 U.S. 224 (1988)
Central Bank of Denver v. First Interstate Bank of Denver
The Authority issue $26 million in bonds to finance public improvements at Stetson Hills, a planned residential and commercial development in Colorado Springs. Central Bank (the petitioner) served as indenture trustee for the bond issues.
United States Supreme Court | 511 U.S. 164 (1994)
Chiarella v. United States
Chierella was a printer by trade. He handled documents announcing corporate takeover bids that had not been made public and traded stocks based on this information.
United States Supreme Court | 445 U.S. 222 (1980)
Continental Marketing Corp. v. SEC
Continental offered for sale and sold investment contracts for the 'sale, care, management, replacement or resale of live beaver for breeding purposes.' Investors could pay $6 per month or care for the beavers by themselves by purchasing pool, den, beaver dentist, etc.
United States Court of Appeals for the Tenth Circuit | 387 F.2d 466 (1967)
Dirks v. SEC
Dirks received material nonpublic information from insiders of a corporation with which he had no connection. He disclosed this information to investors who relied on it in trading in the shares of the corporation.
United States Supreme Court | 463 U.S. 646 (1983)
Escott v. Barchris
Plaintiffs were purchasers of fifteen year debentures of BarChris and filed an action under Section 11 of the Securities Act of 1933. BarChris was engaged primarily in the construction of bowling alleys.
U.S. District Court, Southern District of New York | 283 F. Supp. 643 (1968)
Gustafson v. Alloyd Co.
Petitioners Gustafson, McLean, and Butler, were the sole shareholders of Alloyd Co., Inc., formerly known as Alloyd Holdings Inc. (Respondents).
United States Supreme Court | 513 U.S. 561 (1995)
Gustafson v. Alloyd Company
Gustafson were the sole shareholders of Alloyd, a manufacturer of plastic packaging. Gustafson decided to sell Alloyd and engaged KPMG to find a buyer.
United States Supreme Court | 513 U.S. 561 (1995)
In re Worldcom, Inc. Securities Litigation
Roberts was chairman of WorldCom's board of directors during WorldCom's accounting scandals. Roberts signed a number of documents filed by WorldCom with the SEC.
U.S. District Court, Southern District of New York | Master File No. 02 Civ. 3288 (DLC)
Landreth Timber Company v. Landreth
Landreth and sons owned all outstanding stock of a lumber business. They offered their stock for sale through in-state and out-of-state brokers.
United States Supreme Court | 471 U. S. 681 (1985)
Litton Industries, Inc. v. Lehman Brothers Kuhn Loeb, Inc.
The SEC filed a civil complaint alleging that a stockbroker violated both 10(b) of the Exchange Act and Rule 10b-5, by selling his customer's securities and using the proceeds for his own benefit without the customer's knowledge or consent..
United States Court of Appeals for the Second Circuit | 967 F.2d 742 (1992)
Marine Bank v. Weaver
Weavers purchase $50,000 certificate of deposit with six-year maturity from Marine Bank. The certificate of deposit is insured by the FDIC.
United States Supreme Court | 455 US 551 (1982)
Paramount Comm., Inc. v. Time, Inc.
Time, Inc. ("Time") and Warner Bros. Inc. ("Warner") are negotiating a stock-for-stock merger.
Delaware Supreme Court | 571 A.2d 1140 (1990)
Pinter v. Dahl
Pinter sold unregistered securities (interests in oil and gas leases) to friends and family. Pinter is an oil and gas producer, and a registered securities dealer in Texas.
United States Supreme Court | 486 U. S. 622 (1988)
Piper v. Chris-Craft Industries, Inc.
Chris-Craft attempted to secure voting control of Piper through cash and exchange tender offers for Piper common stock. Chris-Craft's takeover attempt failed, and Bangor Punta, with the support of the Piper family, obtained control of Piper in September 1969.
United States Supreme Court | 430 U. S. 1 (1977)
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