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SEC Enforcement Director Robert Khuzami resigns

Dorsey & Whitney LLP
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USA
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January 9 2013

SEC Enforcement Director Robert Khuzami officially resigned yesterday, a move which has been widely rumored in the press in recent weeks. Mr. Khuzami

This week in securities litigation (week ending January 4, 2013)

Dorsey & Whitney LLP
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USA
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January 4 2013

In this holiday shortened first week of the year, one of the most significant current cases moved forward with the entry of a not guilty plea by Mathew

This week in securities litigation (week ending January 25, 2013)

Dorsey & Whitney LLP
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USA
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January 25 2013

Changes at the top of the SEC and the DOJ's Criminal Division may signal a new direction for securities enforcement actions. Former U.S. Attorney

SEC settlements: Citigroup is argued in the Circuit Court

Dorsey & Whitney LLP
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USA
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February 10 2013

The Second Circuit Court of Appeals heard argument in SEC v. Citigroup Global Markets, Inc., No. 11-5227-cv, one of the most closely watched SEC

Anti-corruption digest - January 2013

Dorsey & Whitney LLP
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USA
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January 22 2013

Eli Lilly has reached a $29 million settlement with the SEC related to allegations that Lilly subsidiaries in Russia, China, Brazil, and Poland made

Broker’s scheme to profit from trading Apple ends in DOJSEC charges

Dorsey & Whitney LLP
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USA
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April 16 2013

Broker David Miller did not have inside information about the Apple earnings call scheduled for October 25, 2012. He did have something else - plans

SEC files settled FCPA action

Dorsey & Whitney LLP
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USA
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April 10 2013

The SEC filed its first Foreign Corrupt Practices Act case of the year, a settled administrative proceeding which named Philips Electronics as a

A key SEC enforcement issue is argued before the Supreme Court

Dorsey & Whitney LLP
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USA
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January 8 2013

The Supreme Court heard argument yesterday in Gabelli v. SEC, No. 11-1274, a case which could have a significant impact on the SEC's enforcement program

SEC, USAO charge former broker with securities fraud tied to market crisis

Dorsey & Whitney LLP
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USA
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January 28 2013

The SEC and the U.S. Attorney for the District of Connecticut filed, respectively, civil and criminal fraud charges against a former account

Merrill settles SEC claims

Dorsey & Whitney LLP
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USA
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January 26 2011

Merrill Lynch resolved claims that it misused customer order information, charged certain customers undisclosed trading fees and failed to maintain proper records

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Search results

SEC Enforcement Director Robert Khuzami resigns

This week in securities litigation (week ending January 4, 2013)

This week in securities litigation (week ending January 25, 2013)

SEC settlements: Citigroup is argued in the Circuit Court

Anti-corruption digest - January 2013

Broker’s scheme to profit from trading Apple ends in DOJSEC charges

SEC files settled FCPA action

A key SEC enforcement issue is argued before the Supreme Court

SEC, USAO charge former broker with securities fraud tied to market crisis

Merrill settles SEC claims

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