Legal Opinion
Securities and Exchange Commission v. Caridi
District Court, D. Connecticut
Decided September 30, 2024No. 3:23-cv-01243Unknown
1Opinion
UNITED STATES DISTRICT COURT DISTRICT OF CONNECTICUT SECURITIES AND EXCHANGE ) 3:23-CV-1243 (SVN) COMISSION, ) Plaintiff, ) ) v. ) ) MICHAEL CARIDI, ) September 30, 2024 Defendant. ) RULING AND ORDER ON DEFENDANT’S MOTION TO DISMISS Sarala V. Nagala, United States District Judge. In this securities fraud action, the United States Securities and Exchange Commission (“SEC”) alleges Defendant Michael Caridi violated and aided and abetted violations of Section 10(b) of the Exchange Act and Rule 10b-5(b) thereunder by making materially false and misleading statements to investors concerning a…
2Cases cited40 opinions
- Ashcroft v. IqbalSupreme Court of the United States · 2009
- Bell Atlantic Corp. v. TwomblySupreme Court of the United States · 2007
- Morrison v. National Australia Bank Ltd.Supreme Court of the United States · 2010
- Chiarella v. United StatesSupreme Court of the United States · 1980
- Faber v. Metropolitan Life InsuranceCourt of Appeals for the Second Circuit · 2011
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