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Results: 1-10 of 34

This week in securities litigation (week ending July 3, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, USA
  • -
  • July 2 2014

In a holiday shortened week, dark pools were again a focus for regulators. This week FINRA sanctioned Goldman Sachs in connection with the operation

This week in securities litigation (week ending June 20, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, European Union, Hong Kong, Japan, United Kingdom, USA
  • -
  • June 19 2014

High speed trading and conflict of interest in the market place were the topics of the week. Two Senate committees held hearings on the issues which

This week in securities litigation (week ending may 16, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, Hong Kong, USA
  • -
  • May 15 2014

The Commission got split decisions in court this week. It prevailed in one high profile trial, obtaining a jury verdict in its favor. It lost a

This week in securities litigation (week ending April 25, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, Hong Kong, USA
  • -
  • April 24 2014

Insider trading and fraudulent investment schemes were the focus of SEC Enforcement this week. The Commission filed insider trading actions tied to

This week in securities litigation (week ending April 17, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, Hong Kong, USA
  • -
  • April 16 2014

High speed trading continued to be a central focus in this shortened week with the markets closed on Friday. The New York Attorney General has

This week in securities litigation (week ending April 4, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, Hong Kong, United Kingdom, USA
  • -
  • April 3 2014

High speed trading and insider trading were key topics this week. Author Michael Lewis released a new book on high speed trading and, in an interview

This week in securities litigation (week ending March 21, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, Hong Kong, United Kingdom, USA
  • -
  • March 20 2014

The Commission improved its trial record this week, prevailing in a ten day jury trial centered on fraud in connection with the sale of mortgage

This week in securities litigation (week ending February 21, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, United Kingdom, USA
  • -
  • February 20 2014

The SEC filed two civil injunctive actions this week. Once focused on an investment fraud scheme in which interests were sold in what was falsely

This week in securities litigation (week ending February 14, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, Hong Kong, USA
  • -
  • February 13 2014

The Commission prevailed after a two week jury trial in an insider trading case this week, ending a string of losses. The agency also filed two

This week in securities litigation (week ending February 7, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, Hong Kong, United Kingdom, USA
  • -
  • February 6 2014

Matthew Martoma was convicted of insider trading by a Manhattan jury. That jury found him guilty of one count of conspiracy and two counts of