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Here are some upcoming events of interest to the securities law community. Unless otherwise noted, all times are local.
Tuesday, Oct. 5
9:30 a.m. – The criminal trial of Iconix Brand Group Inc founder and former Chief Executive Officer Neil Cole on charges of accounting fraud for allegedly inflating the apparel licensing company’s revenue will kick off before U.S. District Judge Edgardo Ramos in Manhattan.
The case is U.S. v. Cole, U.S. District Court, Southern District of New York, No. 19-cr-00869. For Cole: Lorin Reisner, Richard Tarlowe and Andrew Reich of Paul, Weiss, Rifkind, Wharton & Garrison. For the government: Scott Hartman, Andrew Thomas and Noah Solowiejczyk.
10:00 a.m. – An investor in Bristol-Myers Squibb will urge the 2nd U.S. Circuit Court of Appeals in New York to revive a proposed class action alleging the pharmaceutical company’s description of a 2015 cancer drug trial was misleading.
The case is Arkansas Public Employees Retirement et al. v. Bristol-Myers Squibb Co et al., 2nd U.S. Circuit Court of Appeals, No. 20-3716. For investors: Salvatore Graziano of Bernstein Litowitz Berger & Grossmann. For the company: Yosef Riemer of Kirkland & Ellis.
Wednesday, Oct. 6
9:00 a.m. – George Jarkesy Jr., a hedge fund manager found to have committed fraud by the U.S. Securities and Exchange Commission, will ask the 5th U.S. Circuit Court of Appeals in New Orleans to overturn the finding. Jarkesy challenges the agency’s authority to bring fraud cases before its in-house tribunal.
The case is Jarkesy et al. v. SEC, 5th U.S. Circuit Court of Appeals, No. 20-61007. For the SEC: Daniel Aguilar. For Jarkesy: Michael McColloch.
2:00 p.m. – Chinese fintech company X Financial and underwriters including Morgan Stanley & Co. will urge U.S. Magistrate Judge Sanket Bulsara in Brooklyn to dismiss a shareholder lawsuit alleging the company misled investors about its growth prospects and delinquency rates among its peer-to-peer loans.
The case is Chen v. X Financial et al., U.S. District Court, Eastern District of New York, No. 1:19-cv-06908. For the company: Brian Weinstein of Davis Polk & Wardwell. For investors: Jeremy Lieberman of Pomerantz. For the underwriters: Andrew Clubock of Latham & Watkins.
Thursday, Oct. 7
1:30 p.m. – Uber Technologies Inc and underwriters including Morgan Stanley & Co. will urge U.S. District Judge Richard Seeborg in San Francisco to dismiss what they say are new claims in an amended shareholder lawsuit. The shareholders claim they overpaid for shares in Uber’s initial public offering because they were misled about rising regulatory liabilities and pressure on demand for its services. The judge previously denied Uber’s motion to dismiss the case.
The case is Boston Retirement System v. Uber Technologies Inc et al., U.S. District Court for the Northern District of California, No. 19-cv-06361. For Uber: Patrick Robbins of Shearman & Sterling. For investors: Jonathan Gardner of Labaton Sucharow. For the underwriters: Todd Cosenza of Willkie Farr & Gallagher.
Know of an event that could be included in Week Ahead in Securities? Contact Jody Godoy at firstname.lastname@example.org