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Justia Lawyer, Legal Aid & Services Directory: New York Broker Fraud Lawyers
Other Statutes - Securities/Commodities/Exchanges Cases filed in the New York Southern District Court [ Court Info ]
Results 1 - 50 of over 2,200
| Parties | District Court | Judge | Type of Lawsuit | Cause of Action |
|---|---|---|---|---|
| November 20, 2009 | ||||
| Dow Corning Corporate et al v. Merrill Lynch & Co., Inc. et al | NY Southern | Swain | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Dow Corning Corporate, Dow Corning Corporate, Hemlock Semiconductor Corporation, Hemlock Semiconductor Corporation, Devonshire
Underwriters Limited and others... Defendant: Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated
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| November 18, 2009 | ||||
| Annunziato v. Proshares Trust et al | NY Southern | Unassigned | Securities/Commodities/Exchanges | Securities Fraud |
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Plaintiff: Robert Annunziato, Robert Annunziato, Robert Annunziato Defendant: Proshares Trust, Proshares
Advisors LLC, SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| November 13, 2009 | ||||
| Aeroflex Incorporated v. JPMorgan Chase & Co. et al | NY Southern | Unassigned | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Aeroflex Incorporated, Aeroflex Incorporated Defendant: JPMorgan Chase & Co., J.P. Morgan
Securities Inc.
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| Securities and Exchange Commission v. O'Hara et al | NY Southern | Unassigned | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Securities and Exchange Commission Defendant: Jerome O'Hara, George Perez
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| November 12, 2009 | ||||
| Pacifico v. Proshares Trust et al | NY Southern | Unassigned | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Fernando Pacifico, Fernando Pacifico Defendant: Proshares Trust, Proshare Advisors LLC, SEI
Investment Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| Tradewaves Ltd. et al v. Standard Chartered International (USA) Ltd. et al | NY Southern | Unassigned | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Tradewaves Ltd., Tradewaves Ltd., Parasram Daryani, Parasram Daryani, Neelam P. Daryani and others... Defendant: Standard Chartered
International (USA) Ltd., Standard Chartered PLC
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| November 10, 2009 | ||||
| Gissin et al v. Endress et al | NY Southern | Scheindlin | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Yaron Gissin, Yaron Gissin, Yaron Gissin, Yaron Gissin, Yaron Gissin and others... Defendant: Donald L. Endress, Danny
C. Herron, Bryan D. Meier
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| Securities and Exchange Commission v. Ezra C. Levy | NY Southern | Cote | Securities/Commodities/Exchanges | Securities Fraud |
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Plaintiff: Securities and Exchange Commission Defendant: Ezra C. Levy
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| November 9, 2009 | ||||
| Setyan v. Proshares Trust et al | NY Southern | Unassigned | Securities/Commodities/Exchanges | Securities Fraud |
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Plaintiff: Vahan A. Setyan, Vahan A. Setyan, Vahan A. Setyan, Vahan A. Setyan Defendant: Proshares Trust,
Proshares Advisors LLC, SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| November 5, 2009 | ||||
| Securities and Exchange Commission v. Cutillo et al | NY Southern | Kaplan | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Securities and Exchange Commission, Securities and Exchange Commission, Securities and Exchange Commission, Securities and
Exchange Commission, Securities and Exchange Commission Defendant: Arthur J. Cutillo, Jason C. Goldfarb, Zvi Goffer, Craig C. Drimal,
Schottenfeld Group, LLC and others...
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| November 4, 2009 | ||||
| O'Dea et al v. The9, Ltd. et al | NY Southern | Unassigned | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: David J. O'Dea, David J. O'Dea, David J. O'Dea, David J. O'Dea, David J. O'Dea and others... Defendant: The9, Ltd., Xiaowei Chen,
George Lai, Hannah Lee, Tony Tse and others...
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| Setyan v. Proshares Trust et al | NY Southern | Unassigned | Securities/Commodities/Exchanges | Securities Fraud |
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Plaintiff: Vahan A. Setyan, Vahan A. Setyan, Vahan A. Setyan Defendant: Proshares Trust, Proshare
Advisors LLC, SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| November 3, 2009 | ||||
| Setyan v. Proshares Trust et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Securities Fraud |
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Plaintiff: Vahan A. Setyan, Vahan A. Setyan, Vahan A. Setyan Defendant: Proshares Trust, Proshares
Advisors LLC, SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| November 2, 2009 | ||||
| Pacifico v. Proshares Trust et al | NY Southern | Crotty | Securities/Commodities/Exchanges | Securities Fraud |
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Plaintiff: Fernando Pacifico, Fernando Pacifico Defendant: Proshares Trust, Proshares Advisors LLC, SEI
Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| October 30, 2009 | ||||
| Bowman et al v. Proshares Trust et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: David Bowman, Uma Swaminathan Defendant: Proshares Trust, Proshares Advisors LLC, SEI
Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| Fried et al v. Lehman Brothers Real Estate Associates III, L.P. et al | NY Southern | Jones | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Barbara J. Fried, Barbara J. Fried, Mark Fried Altitude Partners, LLC, Mark Fried Altitude Partners, LLC, Richard D. Maltzman
and others... Defendant: Lehman Brothers
Real Estate Associates III, L.P., Lehman Brothers Private Equity Advisers, LLC, Mark A. Walsh, Mark H. Newman, Brett Bossung and others...
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| Rhoads v. Proshares Trust et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Richard G. Rhoads, Jr., Richard G. Rhoads, Jr. Defendant: Proshares Trust, Proshares Advisors
LLC, SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and
others...
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| October 29, 2009 | ||||
| Kaiser et al v. Proshares Trust et al | NY Southern | Crotty | Securities/Commodities/Exchanges | Securities Fraud |
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Plaintiff: Mark E. Kaiser, Mark E. Kaiser, Mark E. Kaiser, Huet Tshin Kaiser, Huet Tshin Kaiser and others... Defendant: Proshares Trust, Proshare
Advisors LLC, SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| October 28, 2009 | ||||
| Orlan et al v. Spongetech Delivery Systems, Inc. et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Jeffrey P. Orlan, Jeffrey P. Orlan Defendant: Spongetech Delivery Systems, Inc., Michael L.
Metter, Steven Moskowitz, Frank Lazauskas, RM Enterprises International, Inc.
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| October 27, 2009 | ||||
| Securities and Exchange Commission v. Grmovsek | NY Southern | McMahon | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Securities and Exchange Commission Defendant: Stanko J. Grmovsek
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| October 23, 2009 | ||||
| Piplica v. Proshares Trust et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Maryanne D. Piplica Defendant: Proshares Trust, Proshares Advisors L.L.C., SEI Investments
Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| Setyan v. Proshares Trust et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Securities Fraud |
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Plaintiff: Vahan A. Setyan, Vahan A. Setyan, Vahan A. Setyan, Vahan A. Setyan Defendant: Proshares Trust,
Proshares Advisors LLC, SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| Setyan v. Proshares Trust et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Securities Fraud |
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Plaintiff: Vahan A. Setyan, Vahan A. Setyan, Vahan A. Setyan Defendant: Proshares Trust, Proshares
Advisors LLC, SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| Vidrine et al v. Proshares Trust et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Fed. Question: Other |
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Plaintiff: James Vidrine, James Vidrine, James Vidrine, James Vidrine Defendant: Proshares Trust,
Proshare Advisors LLC, SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| October 22, 2009 | ||||
| Solars v. Proshares Trust et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Securities Fraud |
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Plaintiff: Roland Michael Solars, Roland Michael Solars, Roland Michael Solars Defendant: Proshares
Trust, Proshare Advisors LLC, SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| October 21, 2009 | ||||
| Glaser v. The9, Ltd. et al | NY Southern | Holwell | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Lawrence F. Glaser Defendant: The9, Ltd., Xiaowei Chen, George Lai, Hannah Lee, Tony Tse
and others...
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| October 19, 2009 | ||||
| Absolute Activist Value Master Fund Limited et al v. Ficeto et al | NY Southern | Daniels | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Absolute Activist Value Master Fund Limited, Absolute Activist Value Master Fund Limited, Absolute Activist Value Master Fund
Limited, Absolute Activist Value Master Fund Limited, Absolute East West Fund Limited and others... Defendant: Todd M. Ficeto, Todd M.
Ficeto, Hunter World Markets, Inc., Florian Homm, Colin Heatherington and
others...
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| Rubin Family Irrevocable Stock Trust et al v. Brahma Finance BVI, Ltd. et al | NY Southern | Buchwald | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Rubin Family Irrevocable Stock Trust, Robert Chess, Rodney Baber, Corporate Communications Group, Inc., David Solomon Defendant: Brahma Finance BVI, Ltd., HC Innovations, Inc.
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| October 16, 2009 | ||||
| Securities and Exchange Commission v. Galleon Management, LP et al | NY Southern | Rakoff | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Securities and Exchange Commission Defendant: Galleon Management, LP, Raj Rajaratnam, Rajiv
Goel, Anil Kumar, Danielle Chiesi and others...
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| October 15, 2009 | ||||
| Securities and Exchange Commission v. Kass | NY Southern | Pauley | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Securities and Exchange Commission Defendant: Ethan Kass
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| Securities and Exchange Commission v. Kueng | NY Southern | Jones | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Securities and Exchange Commission, Securities and Exchange Commission, Securities and Exchange Commission, Securities and
Exchange Commission, Securities and Exchange Commission Defendant: Alissa Joelle Kueng
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| October 14, 2009 | ||||
| Anglo-German Progressive Fund, LTD. v. The Concorde Group, Inc. et al | NY Southern | Castel | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Anglo-German Progressive Fund, LTD. Defendant: The Concorde Group, Inc., DBL Holding LLC,
Craig A. Zabala
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| Highlands Capital Management L.P. et al v. Forex Capital Markets LLC | NY Southern | Rakoff | Securities/Commodities/Exchanges | Fed. Question: Other |
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Plaintiff: Highlands Capital Management L.P., David Smith, Julia B. Hitchens, Harold Mooz, Connie Heldman and others... Defendant: Forex Capital Markets LLC
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| International Fund Management S.A. et al v. CitiGroup Inc. et al | NY Southern | Unassigned | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: International Fund Management S.A., International Fund Management S.A., International Fund Management S.A., International Fund
Management S.A., International Fund Management S.A. and others... Defendant: CitiGroup Inc., Charles Prince, Vikram Pandit, Gary Crittenden, John C. Gerspach and others...
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| October 13, 2009 | ||||
| Roche International LTD v. Credit Suisse Group AG | NY Southern | Gardephe | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Roche International LTD, Roche International LTD, Roche International LTD Defendant: Credit
Suisse Group AG
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| October 12, 2009 | ||||
| Building Trades United Pension Trust Fund et al v. EnergySolutions, Inc. et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Building Trades United Pension Trust Fund, Building Trades United Pension Trust Fund, Building Trades United Pension Trust Fund,
Building Trades United Pension Trust Fund, Building Trades United Pension Trust Fund and others... Defendant: EnergySolutions, Inc., R.
Steve Creamer, Philip O. Strawbridge, Jean I. Everest, II, Mark C. McBride and
others...
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| Worden et al v. Proshares Trust et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Fed. Question: Other |
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Plaintiff: Karen Worden, Karen Worden, Karen Worden, Karen Worden, Karen Worden and others... Defendant: Proshares Trust, Proshare
Advisors LLC, SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| October 9, 2009 | ||||
| City of Roseville Employees' Retirement System et al v. EnergySolutions, Inc. et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: City of Roseville Employees' Retirement System, City of Roseville Employees' Retirement System, City of Roseville Employees'
Retirement System, City of Roseville Employees' Retirement System, City of Roseville Employees' Retirement System and others... Defendant: EnergySolutions, Inc., R.
Steve Creamer, Philip O. Strawbridge, Jean I. Everest, II, Mark C. McBride and
others...
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| Kleiman et al v. RHI Entertainment, Inc. et al | NY Southern | Hellerstein | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Harold Kleiman, Harold Kleiman, Harold Kleiman, Harold Kleiman Defendant: RHI Entertainment,
Inc., Robert A. Halmi, Jr., William J. Aliber
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| October 8, 2009 | ||||
| Family Swimmers LP v. Rye Select Broad Market Prime Fund, L.P., et al. | NY Southern | Griesa | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Family Swimmers LP Defendant: Rye Select Broad Market Prime Fund, L.P.
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| Rothschild v. Rye Select Broad Market XL Fund, L.P., et al. | NY Southern | Griesa | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Lawrence J. Rothschild Defendant: Rye Select Broad Market XL Fund, L.P.
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| October 7, 2009 | ||||
| The New Mexico State Treasurer's Office, et al. v. The Reserve Fund, et al. | NY Southern | Gardephe | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: The New Mexico State Treasurer's Office Defendant: The Reserve Fund
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| October 6, 2009 | ||||
| Headway Investment Corp. v. American Express Bank Ltd. | NY Southern | Marrero | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Headway Investment Corp. Defendant: American Express Bank Ltd.
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| Ocwen Financial Corp. v. Citigroup Global Markets, Inc. | NY Southern | Swain | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Ocwen Financial Corp. Defendant: Citigroup Global Markets, Inc.
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| October 5, 2009 | ||||
| Longman et al v. Direxion Shares ETF Trust et al | NY Southern | Unassigned | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Thomas C. Longman, Thomas C. Longman Defendant: Direxion Shares ETF Trust, Daniel D. O'Neil,
Todd Kellerman, Daniel J. Byrne, Gerald E. Shanley, III and others...
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| October 2, 2009 | ||||
| King County, Washington v. IKB Deutsche Industriebank AG et al | NY Southern | Scheindlin | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: King County, Washington, King County, Washington, King County, Washington, King County, Washington, King County, Washington
Defendant: IKB Deutsche Industriebank AG, IKB Credit Asset Management, GmbH, Moody's Investors Service Limited, The McGraw Hill Companies,
Inc., Fitch, Inc. and others...
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| Pfeiffer et al v. Direxion Shares ETF Trust et al | NY Southern | Holwell | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Milton Pfeiffer, Milton Pfeiffer, Milton Pfeiffer, Milton Pfeiffer Defendant: Direxion Shares
ETF Trust, Daniel O'Neill, Todd Kellerman, Daniel J. Byrne, Gerald E. Shanley, III and others...
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| October 1, 2009 | ||||
| Normand v. Proshares Trust et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Jacob Chene Normand, Jacob Chene Normand, Jacob Chene Normand Defendant: Proshares Trust,
Proshare Advisors LLC, SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and others...
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| September 30, 2009 | ||||
| Knobel v. Proshares Trust et al | NY Southern | Koeltl | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Robert Knobel, Robert Knobel, Robert Knobel Defendant: Proshares Trust, Proshare Advisors LLC,
SEI Investments Distribution Co., Michael L. Sapir, Louis M. Mayberg and
others...
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| Wittkemper v. Shrader et al | NY Southern | Kaplan | Securities/Commodities/Exchanges | Securities Exchange Act |
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Plaintiff: Gerd Wittkemper Defendant: Ralph W. Shrader, C.G. Appleby, Samuel R. Strickland, Joseph
Garner, Dennis O. Doughty and others...
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