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Edenfield v. ECM Energy Serv., Inc.

Publication Date: 2021-04-05
Practice Area: Securities Litigation
Industry: Software | Transportation
Court: Courts of Common Pleas, Lycoming County
Judge: Judge Linhardt
Attorneys: For plaintiff:
for defendant:
Case Number: 21-0317

Where petitioner was not a record holder of shares in the respondent company at the time he served a verified demand to review financial records, he was not a shareholder within the meaning of 15 Pa.C.S. §1508(b) and, thus, lacked standing to enforce the statute against respondent. The court granted paternal grandmother's petition to intervene.
Alberici v. Recro Pharma, Inc.

Publication Date: 2021-03-15
Practice Area: Securities Litigation
Industry: Pharmaceuticals
Court: U.S. District Court for Pennsylvania - Eastern
Judge: District Judge Baylson
Attorneys: For plaintiff:
for defendant:
Case Number: 21-0265

Plaintiff's second amended complaint in this shareholder class action, which alleged that defendants concealed concerns about the efficacy and manufacturing quality control of a particular drug, sufficiently pled a culpable mental state where the pleading included the who, what, when, where and how of defendants' alleged fraud. The court denied defendants' motion to dismiss.
McDermid v. Inovio Pharm. Inc.

Publication Date: 2021-03-01
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory | Pharmaceuticals
Court: U.S. District Court for Pennsylvania - Eastern
Judge: District Judge Pappert
Attorneys: For plaintiff:
for defendant:
Case Number: 21-0218

Stockholders sufficiently pled false or misleading statements regarding company's production of new vaccine where company's CEO had sufficient background to know of scientific distinction between design and construction of a vaccine, and the statements and subsequent clarification caused spike and plunge in stock price. Defendants' motion to dismiss granted in part and denied in part.
Marion v. Bryn Mawr Trust Co.

Publication Date: 2021-03-01
Practice Area: Securities Litigation
Industry: Financial Services and Banking | Investments and Investment Advisory
Court: Superior Court
Judge: Judge Stabile
Attorneys: For plaintiff:
for defendant:
Case Number: 21-0219

Trial court erred in dismissing aiding and abetting claim against bank which acted to entice Ponzi scheme operator's business and disregarded its own customer policies to allow facilitating of the scheme. Judgement vacated, case remanded.
Scott v. Vantage Corp.

Publication Date: 2021-02-24
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory | Software
Court: U.S. Court of Appeals for the Third Circuit
Judge: Judge Shwartz
Attorneys: For plaintiff:
for defendant:
Case Number: D69307

Plaintiffs failed to establish their claims for misrepresentation or breach of fiduciary duty in connection with the sale of unregistered securities, and the trial court did not err in denying a motion for substitution of parties.
Gentile v. Sec. & Exch. Comm'n

Publication Date: 2020-09-21
Practice Area: Securities Litigation
Industry: Federal Government
Court: U.S. Court of Appeals for the Third Circuit
Judge: Justice Phipps
Attorneys: For plaintiff: Adam C. Ford (Ford O’Brien)
for defendant: Matthew S. Ferguson and Samuel M. Forstein (U.S. Securities & Exchange Commission)
Case Number: 19-2252

SEC's Discretion to Initiate Investigations Not Subject to Judicial Review under Administrative Procedures Act
Tomaszewski v. Trevena, Inc.

Publication Date: 2020-09-14
Practice Area: Securities Litigation
Industry: Federal Government | Pharmaceuticals
Court: U.S. District Court for Pennsylvania - Eastern
Judge: District Judge Rufe
Attorneys: For plaintiff:
for defendant:
Case Number: 20-1006

Defendants moved to dismiss plaintiffs §§10(b) and 20(a) of the exchange act and rule 10b-5 class action asserting misrepresentation regarding Food and Drug Administration actions concerning drug company's drug and New Drug Application and court struck confidential minutes of meeting between company and FDA defendants included as part of their motion to dismiss, found complaint sufficiently alleged chief medical officer made a material misrepresentation by omission as to one statement but not as to another and held plaintiffs could pr
Gentile v. Sec. & Exch. Comm'n

Publication Date: 2020-09-11
Practice Area: Government | Securities Litigation
Industry:
Court: U.S. Court of Appeals for the Third Circuit
Judge: Judge Phipps
Attorneys: For plaintiff:
for defendant:
Case Number: 19-2252

Plaintiff appealed from the district court's dismissal of his complaint for lack of subject matter jurisdiction.
Osborne v. Emp. Benefits Admin. Bd. of Kraft Heinz

Publication Date: 2020-04-27
Practice Area: Securities Litigation
Industry: Food and Beverage | Investments and Investment Advisory | Manufacturing
Court: U.S. District Court for Pennsylvania - Western
Judge: District Judge Hornak
Attorneys: For plaintiff:
for defendant:
Case Number: 20-0433

ERISA and shareholder derivative actions transferred to district that was the locus of the alleged underlying activity and where other actions alleging similar factual background had been first filed. Defendants' motions to transfer venue granted.
United States v. Fishoff

Publication Date: 2020-02-10
Practice Area: Securities Litigation
Industry: Investments and Investment Advisory
Court: U.S. Court of Appeals for the Third Circuit
Judge: Circuit Judge Roth
Attorneys: For plaintiff:
for defendant:
Case Number: 20-0141

District court properly found appellant was not entitled to the non-imprisonment defense after he pled guilty to securities fraud because he did not establish by a preponderance of the evidence a lack of knowledge of rule 10b-5. Affirmed.

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