Alain Mathieu

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Tenth Circuit Affirms Extraterritorial Reach of SEC Enforcement of the Federal Securities Laws

In the Traffic Monsoon litigation, the U.S. Court of Appeals for the Tenth Circuit held that the enforcement provisions of the Securities Act and the Exchange Act reach Traffic Monsoon’s sales to customers outside of the...more

5/8/2019 / Cross-Border Transactions , Dodd-Frank , Enforcement Actions , Extraterritoriality Rules , Morrison v National Australia Bank , Rule 10(b) , Rule 10b-5 , SCOTUS , Securities , Securities Act of 1933 , Securities Exchange Act

Court Allows Volkswagen Bondholder Action to Proceed, But Expresses Doubts about the Plaintiff’s Ability to Certify a Class

As we previously noted in this post, the United States District Court for the Northern District of California dismissed the Volkswagen Bondholder Plaintiff’s first amended complaint, with leave to amend, holding that it could...more

10/1/2018 / Bonds , Class Action , Class Certification , Fraud-on-the-Market , Misrepresentation , Presumption of Reliance , Rule 10b-5 , Rule 144A , Securities Fraud , Volkswagen

Ninth Circuit Holds Transactions in Unsponsored ADRs Can Be “Domestic” Under Morrison

The Toshiba Securities Litigation stems from alleged violations of the Exchange Act, as well as the Financial Instruments and Exchange Act of Japan, against Toshiba Corp., in connection with its alleged accounting fraud and...more

8/15/2018 / Extraterritoriality Rules , International Litigation , Over The Counter Derivatives (OTC) , Petition for Writ of Certiorari , Rule 10b-5 , Section 11 , Securities Exchange Act , Securities Fraud , Securities Litigation , Toshiba

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