Source: http://www.mossgilmorelaw.com/rise-and-fall-of-a-rock-star-page-4/
Timestamp: 2019-04-22 10:44:59+00:00

Document:
Plaintiffs have and will continue to assert a variety of legal theories in cases filed in federal district courts and in SRO arbitrations including: (1) violations of Section 10(b) and Rule 10b-5 promulgated under the 1934 Act; (2) violation of Section 15(c)(1)(A) of the 1934 Act; (3) violation of Section 9 of the 1934 Act; (4) control person liability against senior management of brokerage firms under Section 20 of the 1934 Act.
The typical state law claims will include the following: (1) violations of state investor protection statutes and anti-fraud provisions; (2) breach of fiduciary duty; (3) common law negligence; (4) breach of contract; (5) violation of state consumer protection statutes; and (6) statutory and common law fraud.
39 See In The Matter of John H. Gutfreund, Thomas W. Strauss, and John W. Meriwether, Respondents Administrative Proceeding File No. 3-7930, 1992 WL 362753 (S.E.C. Release No. 31554).
40 See Hollinger v. Titan Capital Corp., 914 I.2d 1504 (9th Cir. 1990) ; Metge v. Baehler, 762 F.2d 621, 631 (8th Cir. 1985) ; G.A. Thompson & Co. v. Partridge, 636 F.2d 945, 958 (5th Cir. 1981) ; First Interstate Bank of Denver, N.A. v. Pring, 969 F.2d 891, 897 (10th Cir. 1992) ; Harrision v. Dean Witter Reynolds, Inc., 974 F.2d 873, 881 (7th Cir. 1992). However, decisions of other circuits may be construed to require a showing of a defendant’s actual participation in the primary violation as part of plaintiff’s prima facie case under Section 20(a). See e.g., Sharp v. Coopers & Lybrand, 649 F.2d 175, 185 (3rd Cir. 1981), cert. den. 455 U.S. 938, 102 S.Ct. 1427, 71 L.Ed.2d 648 (1982) ; Carpenter v. Harris, Upham & Co., 594 F.2d 388, 394 (4th Cir.) , cert. den. 444 U.S. 868, 100 S.Ct. 143, 62 L.Ed.2d 93 (1979) ; Lanza v. Drexel & Co., 479 F.2d 1277, 1299 (2d Cir. 1973) (en banc).
41 See Patrick McGeehan, For financial firms, proposed new rules on analysts are the least of their problems, N.Y. Times, May 8, 2002, at 2.
42 See NASD Manual - Conduct Rules.

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