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Results: 1-10 of 2,131

This week in securities litigation (week ending August 22, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 21 2014

The Second Circuit upheld SEC Rule 10b-5-2 which defines certain types of relationships as the predicate for insider trading. In reaching its

SEC request for O&D bar denied

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 20 2014

A frequently used remedy in Commission enforcement actions is the officer and director bar. A permanent bar has the very harsh effect of precluding

SEC brings an offering fraud action against a claimed app maker

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 19 2014

The SEC brought an action against a reputed "app" manufacturer who sold shares in two different entities beginning first in Colorado and later from

SEC brings another insider trading case tied to golf

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 18 2014

Golf is becoming a recurring theme in insider trading cases. Last month the SEC brought an insider trading action against a group of golf friends

Third Circuit rejects claim that fiduciary duty required for insider trading

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 17 2014

Insider trading cases frequently turn on the nature of the relationship between the trader and the person who is the source of information. The

This week in securities litigation (week ending August 15, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 15 2014

The Commission prevailed in two litigated actions. In one the agency secured a favorable jury verdict in an action centered on misrepresentations

SEC prevails in jury trial against IA and principal

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 13 2014

The Commission prevailed in another jury trial this week, securing a favorable verdict against a registered investment adviser, Sage Advisory Group

Quirky question 239, employers might be liable for accidents during the commute if they require employees to use their vehicle during the work day

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 12 2014

Our office manager occasionally runs errands during the day such as delivering something to a customer or picking up lunch for a meeting. We

Electronic data security after Riley v. California

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 12 2014

It's 10 p.m. Do you know where your company's data is? One of your administrative employees' cell phone may be sitting on his nightstand. Another

SEC brings another bond case against a state

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 12 2014

The SEC's nationwide review of municipal bond disclosures yielded another enforcement action, this time against the state of Kanas. The Order centers