§Why CasetextPricing

Ronald Siemers v. Wells Fargo & Company et al

Memorandum in Opposition re MOTION to Dismiss Plaintiff's Consolidated Amended Class Action Complaint Opposition to Motion of Defendant Wells Fargo & Co. to Dismiss Plaintiff's Consolidated Amended Class Action Complaint

58 Cited authorities

  1. Vess v. Ciba-Geigy Corp. USA

    317 F.3d 1097 (9th Cir. 2003)   Cited 4,282 times   3 Legal Analyses
    Holding that the Rule 9(b) pleading standards apply to California CLRA, FAL, and UCL claims because, though fraud is not an essential element of those statutes, a plaintiff alleges a fraudulent course of conduct as the basis of those claims

  2. La Grasta v. First Union Securities, Inc.

    358 F.3d 840 (11th Cir. 2004)   Cited 1,380 times   1 Legal Analyses
    Holding that dismissal on statute-of-limitations grounds is "appropriate only if it is apparent from the face of the complaint that the claim is time-barred"

  3. Lentell v. Merrill Lynch Co., Inc.

    396 F.3d 161 (2d Cir. 2005)   Cited 1,012 times   20 Legal Analyses
    Holding that to prove loss causation, a plaintiff must allege "that the misstatement or omission concealed something from the market that, when disclosed, negatively affected the value of the security"

  4. Shaw v. Digital Equipment Corp.

    82 F.3d 1194 (1st Cir. 1996)   Cited 1,035 times   8 Legal Analyses
    Holding that the bespeaks caution doctrine does not apply to representations of "present facts" that were false when made

  5. Semegen v. Weidner

    780 F.2d 727 (9th Cir. 1985)   Cited 1,006 times   1 Legal Analyses
    Holding that allegations must be "specific enough to give defendants notice of the particular misconduct which is alleged to constitute the fraud charged so that they can defend against the charge and not just deny that they have done anything wrong"

  6. Paracor Finance, Inc. v. Gen. El. Cap. Corp.

    79 F.3d 878 (9th Cir. 1996)   Cited 567 times   2 Legal Analyses
    Holding a § 20 "controlling person liability" claim requires a showing that a primary violation was committed

  7. Howard v. Everex Systems

    228 F.3d 1057 (9th Cir. 2000)   Cited 485 times   7 Legal Analyses
    Holding outside directors responsible for SEC filings they signed

  8. Hollinger v. Titan Capital Corp.

    914 F.2d 1564 (9th Cir. 1990)   Cited 570 times   3 Legal Analyses
    Holding that a "controlling person" need not be a "culpable participant"

  9. U.S. v. Wood

    925 F.2d 1580 (7th Cir. 1991)   Cited 439 times
    Holding that a district court "may also take judicial notice of matters of public record" without converting the motion into one for summary judgment

  10. In re Nationsmart Corporation Sec. Litigation

    130 F.3d 309 (8th Cir. 1997)   Cited 178 times
    Holding that "Rule 9(b) does not apply to claims under § 11 of the Securities Act, because proof of fraud or mistake is not a prerequisite to establishing liability under § 11"

  11. Rule 8 - General Rules of Pleading

    Fed. R. Civ. P. 8   Cited 160,289 times   196 Legal Analyses
    Holding that "[e]very defense to a claim for relief in any pleading must be asserted in the responsive pleading. . . ."

  12. Rule 9 - Pleading Special Matters

    Fed. R. Civ. P. 9   Cited 39,551 times   328 Legal Analyses
    Requiring that fraud be pleaded with particularity

  13. Rule 201 - Judicial Notice of Adjudicative Facts

    Fed. R. Evid. 201   Cited 29,078 times   26 Legal Analyses
    Holding "[n]ormally, in deciding a motion to dismiss for failure to state a claim, courts must limit their inquiry to the facts stated in the complaint and the documents either attached to or incorporated in the complaint. However, courts may also consider matters of which they may take judicial notice."

  14. Section 78t - Liability of controlling persons and persons who aid and abet violations

    15 U.S.C. § 78t   Cited 4,022 times   20 Legal Analyses
    Holding liable any person "who, directly or indirectly, controls any person liable under any provision of this chapter or of any rule or regulation thereunder"

  15. Section 1658 - Time limitations on the commencement of civil actions arising under Acts of Congress

    28 U.S.C. § 1658   Cited 2,398 times   41 Legal Analyses
    Holding that the state-law tort period controls § 1983 actions

  16. Section 78a - Short title

    15 U.S.C. § 78a   Cited 1,734 times   39 Legal Analyses
    Emphasizing considerations of federalism in SLUSA's legislative findings

  17. Section 78m - Periodical and other reports

    15 U.S.C. § 78m   Cited 1,214 times   87 Legal Analyses
    Authorizing Commission to adopt disclosure requirements for certain repurchases of securities by issuer

  18. Section 78o - Registration and regulation of brokers and dealers

    15 U.S.C. § 78o   Cited 1,021 times   55 Legal Analyses
    Requiring broker-dealers to be FINRA members

  19. Section 77m - Limitation of actions

    15 U.S.C. § 77m   Cited 959 times   29 Legal Analyses
    Establishing a one-year statute of limitations for §§ 11 and 12 claims which begins to run upon "the discovery of the untrue statement or omission, or after such discovery should have been made by the exercise of reasonable diligence"

  20. Section 77o - Liability of controlling persons

    15 U.S.C. § 77o   Cited 814 times   8 Legal Analyses
    Imposing liability on persons who "control[] any person liable" under §§ 11 or 12

  21. Section 249.310 - Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934

    17 C.F.R. § 249.310   Cited 18 times
    Providing that Securities and Exchange Commission Form 10-K must be filed within 90 days after the end of the fiscal year

  22. Section 275.204-1 - Amendments to Form ADV

    17 C.F.R. § 275.204-1   Cited 11 times   2 Legal Analyses

    (a)When amendment is required. You must amend your Form ADV (17 CFR 279.1 ) : (1) Parts 1 and 2: (i) At least annually, within 90 days of the end of your fiscal year; and (ii) More frequently, if required by the instructions to Form ADV. (2) Part 3 at the frequency required by the instructions to Form ADV. (b)Electronic filing of amendments. (1) Subject to paragraph (c) of this section, you must file all amendments to Part 1A, Part 2A, and Part 3 of Form ADV electronically with the IARD, unless you

  23. Section 229.601 - (Item 601) Exhibits

    17 C.F.R. § 229.601   Cited 6 times   2 Legal Analyses

    (a)Exhibits and index required. (1) Subject to Rule 411(c) (§ 230.411(c) of this chapter) under the Securities Act and Rule 12b-23(c) (§ 240.12b-23(c) of this chapter) under the Exchange Act regarding incorporation of exhibits by reference, the exhibits required in the exhibit table must be filed as indicated, as part of the registration statement or report. (2) Each registration statement or report shall contain an exhibit index, which must appear before the required signatures in the registration

  24. Section 275.203-1 - Application for investment adviser registration

    17 C.F.R. § 275.203-1   Cited 3 times   1 Legal Analyses

    (a)Form ADV. (1) To apply for registration with the Commission as an investment adviser, you must complete Form ADV (17 CFR 279.1 ) by following the instructions in the form and you must file Part 1A of Form ADV, the firm brochure(s) required by Part 2A of Form ADV and Form CRS required by Part 3 of Form ADV electronically with the Investment Adviser Registration Depository (IARD) unless you have received a hardship exemption under § 275.203-3 . You are not required to file with the Commission the

  25. Section 279.1 - Form ADV, for application for registration of investment adviser and for amendments to such registration statement

    17 C.F.R. § 279.1   Cited 2 times

    This form shall be filed pursuant to Rule 203-1 (§ 275.203-1 of this chapter) as an application for registration of an investment adviser pursuant to sections 203(c) or 203(g) of the Investment Advisers Act of 1940, and also as an amendment to registration pursuant to Rule 204-1 (§ 275.204-1 of this chapter). 17 C.F.R. §279.1 44 FR 21008, Apr. 9, 1979 81 FR 60457, 9/1/2016 For FEDERAL REGISTER citations affecting Form ADV, see the List of CFR Sections Affected, which appears in the Finding Aids section