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Results: 1-10 of 996

The SEC, an idea, insider trading and the Wyly case

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

The SEC got a much needed courtroom win with a jury verdict in the Wyly case. The insider trading claim, however, was not submitted to the jury

Microcap fraud: an FBI controlled shell company

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 14 2014

Five men came together to plan the manipulation of an over-the-counter traded shell. What they did not know was that the shell was controlled by the

The SEC, insider trading, golf and e-mails

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

Insider trading is generally a profit making venture. But not always as a group of golf friends recently learned - and documented in numerous e-mails

This week in securities litigation (week ending July 11, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 10 2014

The unblemished record of the Manhattan U.S. Attorney's Office in insider trading cases came to an end this week with the acquittal of Rengan

D.C. Circuit grants petition for mandamus and strongly reaffirms attorney-client privilege for internal investigations

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 8 2014

The attorney-client privilege has long protected attorney-client communications made during the course of an internal investigation. Upjohn Co. v

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

SEC prevails in Eleventh Circuit

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 1 2014

The SEC prevailed in an appeal of a financial fraud action. SEC v. Monterosso, Nos. 13-10341, 13-10342, 13-10464 (11thCir. Opinion June 30, 2014). A

Anti-bribery and corruption compliance practices

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • June 30 2014

Compliance Week published its 2014 Anti-Bribery and Corruption Benchmarking Report, a survey of over 180 executives involved in ethics and FCPA

Increasing risks of fraud; compliance failures; a willingness to be unethical

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • June 29 2014

Cyber security, corruption and unethical behavior pose significant risks for business enterprises, according to a new survey by EY titled "Overcoming

This week in securities litigation (week ending June 27, 2014)

  • Dorsey & Whitney LLP
  • -
  • Hong Kong, USA
  • -
  • June 26 2014

The Supreme Court handed down its much anticipated decision in Halliburton. While the Court declined to overrule Basicand its presumption of reliance