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Anti-corruption digest - April 2013

Dorsey & Whitney LLP
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Canada, India, Indonesia, Poland, South Korea, Uganda, United Kingdom, USA
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April 29 2013

On April 22, 2013, Ralph Lauren Corporation entered into non-prosecution agreements with the United States Department of Justice (DOJ) and the United

SEC secures $2.7 million judgment against broker and others

Dorsey & Whitney LLP
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USA
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April 28 2013

The Commission prevailed on a motion for summary judgment against a brokerage firm, its principle and a former managing director, ultimately securing

The Dell insider trading cases

Dorsey & Whitney LLP
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USA
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May 15 2013

Anthony Chiasson, the co-founder of hedge fund Level Global Investors, was sentenced on insider trading charges this week to serve 78 months in

SEC, USAO file kickback charges based on Argentinean bond scheme

Dorsey & Whitney LLP
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USA
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May 7 2013

Fraud charges centered on a kickback scheme that generated more over $60 million trading Venezuelan bonds which was executed by employees of a New

This week in securities litigation (week ending April 19, 2013)

Dorsey & Whitney LLP
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USA
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April 19 2013

The Second Circuit's pending decision in the Commission's Citigroup market crisis case continues to loom as Judge Marreno approved the over $600

SEC sues PRC issuer in what business?

Dorsey & Whitney LLP
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China, USA
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May 14 2013

The Commission has filed a series of actions against China based issuers. Some have centered on financial fraud and misrepresentation claims such as

This week in securities litigation (week ending August 24, 2012)

Dorsey & Whitney LLP
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USA
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August 23 2012

Money market reform, a cause long championed by SEC Chairman Mary Schapiro, will not go forward at this time

The SEC charges City of Harrisburg with fraud

Dorsey & Whitney LLP
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USA
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May 6 2013

For the first time the SEC charged a municipality for making false and misleading statements outside of its securities disclosure documents. The

FCPA compliance: increasing efforts but miles to go

Dorsey & Whitney LLP
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USA
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May 12 2013

DOJ and SEC enforcement officials have made it clear in recent years that anticorruption and FCPA enforcement is a key priority. More cases have been

The Spongetech CEO and CFO settle with the SEC

Dorsey & Whitney LLP
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USA
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January 7 2013

It began with a trading suspension. Continued the next year with the filing of an enforcement action. Persisted through a preliminary injunction. Now it

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Search results

Anti-corruption digest - April 2013

SEC secures $2.7 million judgment against broker and others

The Dell insider trading cases

SEC, USAO file kickback charges based on Argentinean bond scheme

This week in securities litigation (week ending April 19, 2013)

SEC sues PRC issuer in what business?

This week in securities litigation (week ending August 24, 2012)

The SEC charges City of Harrisburg with fraud

FCPA compliance: increasing efforts but miles to go

The Spongetech CEO and CFO settle with the SEC

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