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Results: 1-10 of 453

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

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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

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

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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
  • -
  • USA
  • -
  • 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

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

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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

A key SEC enforcement issue is argued before the Supreme Court

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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 option backdating claims and relief held time barred

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 23 2011

In SEC v. Microtune, Inc., Civil Action no. 3:08-CV-1105 (N.D. Tx.) the court concluded that the Commission’s option backdating claims and virtually of its remedies were time barred

This week in securities litigation (February 25, 2011)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 25 2011

Key events this week included a report to the SEC and CFTC from the Advisory Committee on the flash crash

FINRA rule not retroactive

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 24 2011

In her remarks at PLI's SEC Speaks, SEC Commissioner discussed the question of retroactivity as it might apply to various provisions of Dodd-Frank (here

Outside directors named in SEC financial fraud case

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • March 1 2011

SEC v. DBH Industries, Inc., Civil Action No. 0:11-cv-60431 (S.D. Fla. Filed Feb. 28, 2011) and SEC v. Krantz, Civil Action No. 0:11-cv-60432 (S.D. Fla. Filed Feb. 28, 2011) are two fraud actions arising from the demise of military bullet proof vest manufacturer DBH Industries, otherwise known as Pont Blank Solutions

The SEC concludes a financal fraud case

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 3 2011

The Commission concluded a long running financial fraud action yesterday, settling with the former CFO of Fischer Imaging Corporation, Rodney B. Johnson, and a former sales executive of the company, Robert Hoffman. SEC v. Rivelli, Civ. No. 05-CV-1039 (D. Colo. June 7, 2005

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