Second Circuit bars criminal defendant from accessing assets frozen by regulators *

USA - April 12 2013
The US Court of Appeals for the Second Circuit recently upheld a district court's refusal to release nearly $4 million in assets frozen by the…

Co-authors: Michael M. Rosensaft.

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Court finds Section 15(a) of the Exchange Act only applicable in domestic transactions *

USA - April 12 2013
The US District Court for the Northern District of Illinois recently granted defendants' motion to dismiss one count of a Securities and Exchange…

Co-authors: Michael M. Rosensaft.

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Fourth Circuit affirms finding of no Fifth Amendment violation in connection with 45-year conviction for $100 million investment scheme *

USA - February 1 2013
The US Court of Appeals for the Fourth Circuit recently affirmed a defendant's conviction and 45-year sentence, holding that the defendant's Fifth…

Co-authors: Michael S. Gordon.

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District Court finds that Securities Exchange Act covers stock “float” manipulation *

USA - February 1 2013
In a self-described "precedent-setting" order, the US District Court for the Eastern District of Pennsylvania recently found that the Securities…

Co-authors: Michael S. Gordon.

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Former hedge fund founder ordered to pay $5 million for securities law violations *

USA - December 7 2012
The US District Court for the Southern District of New York recently ordered the investment adviser to two hedge funds, and its managing director, to pay nearly $5 million in disgorgement, prejudgment interest and civil penalties for violations of the federal securities laws.

Co-authors: Michael S. Gordon.

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