Legal Opinion
Vera Smith, as of the Estate of Robert J. Smith, Deceased v. Duff and Phelps, Inc., a Corporation, and Claire v. Hansen
Court of Appeals for the Eleventh Circuit
Decided January 16, 1990No. 89-7324PublishedCited by 35 opinions
1Opinion of the Court
JOHNSON, Circuit Judge:
This is an interlocutory appeal certified by the district court under 28 U.S.C.A. § 1292(b) to resolve two questions arising under section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C.A. § 78j(b) (hereinafter “section 10(b)”) and Rule 10b-5 accompanying section 10(b), 17 C.F.R. § 240.10b-5 (hereinafter “Rule lobs’’). The district court action for securities fraud under these statutes and under Alabama law has been stayed pending disposition by this Court.
I. STATEMENT OF THE CASE
Duff and Phelps, Inc. (“Duff & Phelps”) is a closely-held Chicago-based financial…
2Cases cited25 opinions
- Larry Bonner v. City of Prichard, AlabamaCourt of Appeals for the Eleventh Circuit · 1981
- Wilson v. GarciaSupreme Court of the United States · 1985
- Basic Inc. v. LevinsonSupreme Court of the United States · 1988
- Securities and Exchange Commission v. W. J. Howey Co.Supreme Court of the United States · 1946
- Agency Holding Corp. v. Malley-Duff & Associates, Inc.Supreme Court of the United States · 1987
20 more not listed; retrieve them via the Exa API.
3Cited by35 opinions
- Rodriguez-Ortiz v. Margo Caribe, Inc.Court of Appeals for the First Circuit · 2007
- Castellano v. Young & Rubicam, Inc.Court of Appeals for the Second Circuit · 2001
- Fed. Sec. L. Rep. P 98,222 William M. McCormick v. The Fund American Companies, Inc., a Delaware CorporationCourt of Appeals for the Ninth Circuit · 1994
- Morton's Market, Inc. v. Gustafson's Dairy, Inc.Court of Appeals for the Eleventh Circuit · 1999
- John F. Dawson v. Roger Scott, WardenCourt of Appeals for the Eleventh Circuit · 1995
30 more not listed; retrieve them via the Exa API.