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SEC charges hedge fund manager and bond salesman in first insider trading case involving credit default swaps

Jones Day
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USA
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May 28 2009

On May 5, 2009, the U.S. Securities and Exchange Commission ("SEC") brought an action in the U.S. District Court for the Southern District of New York alleging the "the first insider trading enforcement action involving credit default swaps."

Chinese companies trading in U.S. face increased scrutiny by SEC, Congress, and private plaintiffs

Jones Day
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China, USA
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January 20 2011

Several Chinese companies brought onto public United States stock markets through reverse mergers with existing U.S. issuers have been the focus of recent investigations, enforcement actions, and private civil litigation

SEC action against Office Depot highlights Regulation FD prohibition on "indirect guidance"

Jones Day
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USA
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November 11 2010

In the third Regulation FD enforcement action in the last 13 months, on October 21, 2010, the Securities and Exchange Commission brought enforcement actions against Office Depot, Inc. ("Office Depot") and its now former CEO and CFO

Outside directors fail to heed red flags and wind up in SEC hurricane

Jones Day
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USA
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March 9 2011

The SEC recently sued three former outside directors of DHB Industries, alleging that the three were "willfully blind" to the company's fraudulent accounting practices

The Department of Financial Services: New York's newest financial regulator

Jones Day
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USA
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December 7 2011

A new financial regulator recently opened its doors for business in New York and instantly became a formidable agency with broad regulatory powers, including the authority to bring both criminal and civil law enforcement actions

Search results

SEC charges hedge fund manager and bond salesman in first insider trading case involving credit default swaps

Chinese companies trading in U.S. face increased scrutiny by SEC, Congress, and private plaintiffs

SEC action against Office Depot highlights Regulation FD prohibition on "indirect guidance"

Outside directors fail to heed red flags and wind up in SEC hurricane

The Department of Financial Services: New York's newest financial regulator

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