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ROOTS PARTNERSHIP v. LAND'S END, INC.

No. 91-1927.

965 F.2d 1411 (1992)

The ROOTS PARTNERSHIP, individually and on behalf of all others similarly situated, Plaintiff-Appellant, v. LANDS' END, INC., Gary C. Comer, Richard C. Anderson, Paul C. Kramer, and David L. Schlotterback, Defendants-Appellees.

United States Court of Appeals, Seventh Circuit.

Decided April 29, 1992.

As Amended April 29, 1992.

As Amended on Denial of Rehearing and Rehearing June 12, 1992.

Attorney(s) appearing for the Case

Marvin A. Miller, Patrick E. Cafferty, Chertow & Miller, Chicago, David B. Zlotnick, Susan Schneider Thomas (argued), Zlotnick & Thomas, Bala Cynwyd, Pa., for plaintiff-appellant.

Garrett B. Johnson (argued), Jeffrey A. Hall, Jeffrey L. Willian, Kirkland & Ellis, Chicago, Ill., for defendants-appellees.

Before CUDAHY and MANION, Circuit Judges, and REYNOLDS, Senior District Judge.

As Amended on Denial of Rehearing and Rehearing In Banc June 12, 1992.

REYNOLDS, Senior District Judge.

This case requires us to address first whether an issuer's forward-looking statements of its financial goals fall within SEC Rule 175, 17 C.F.R. § 230.175 (1991), one of the "safe harbors" established by the SEC on the authority of the Securities Act of 1933, Title 15 United States Code § 77s(a); second, whether an issuer's inaccurate prediction...

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