S.D. New York· 8/15/2012

In re Smith Barney Transfer Agent Litigation

Citations

884 F. Supp. 2d 152
2012 WL 3339098
2012 U.S. Dist. LEXIS 115264

How courts have described this case

Verbatim parenthetical descriptions written by other courts when citing this decision. Ranked by citation-network relevance.

noting that deceptive conduct may give rise to scheme liability under Rules 10b-5(a) and (c)
finding scheme liability where Defendants created an in-house transfer agent to conceal a scheme designed to channel transfer agent cost savings away from the funds
“[CJourts consistently hold that signatories of misleading documents ‘made’ the statements in those documents, and so face liability under Rule 10b-5(b).”
[“Defendant’s] position at entities other than the [primary violator] does not demonstrate his control over the misleading statements in the [primary violator’s] SEC filings.”
“[A] theory of liability premised on treating corporate insiders as a group cannot survive a plain reading of the Janus decision.”
“[C]ourts consistently hold that signatories of misleading documents ‘made’ the statements in those documents, and so face liability under Rule 10b-5(b).”

Source: CourtListener parenthetical corpus (CC0).

Judges: III

Read full opinion on CourtListener

Cited by

35 cases in this archive cite this case; the 20 most cited are listed.

Cites

46 cases in this archive are cited by this case; the 20 most cited are listed.

Other cases named In re Smith Barney Transfer Agent Litigation

3 other CourtListener records share this case name.

Sourced from CourtListener / Free Law Project (CC0).

This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.