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This week in securities litigation (week ending June 14, 2013)

Dorsey & Whitney LLP
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USA
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June 14 2013

The Commission filed a settled action alleging fraud in connection with a going private transaction based on Exchange Act Section 13(e). The agency

Fund directors, SEC settle after two of three claimed violations are dropped

Dorsey & Whitney LLP
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USA
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June 14 2013

The Commission settled with eight mutual fund directors regarding the procedures used in the valuation of certain assets after months of litigation

SEC fines CBOE $6 million for regulatory failures

Dorsey & Whitney LLP
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USA
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June 11 2013

The Chicago Board of Options Exchange became the first Self-Regulatory Organization to pay a civil penalty relating to its regulatory oversight

SEC charges adviser, principals with theft from police-firefighters

Dorsey & Whitney LLP
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USA
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June 11 2013

The Commission has been bringing an increasing number of actions involving regulated entities and investment advisers. The cases involve a variety of

This week in securities litigation (week ending June 7, 2013)

Dorsey & Whitney LLP
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USA
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June 7 2013

Money market funds were the focus this week at the Commission. The agency issued proposed regulations for comment which may revise the operations of

SEC files another offering fraud action

Dorsey & Whitney LLP
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USA
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June 5 2013

Offering frauds continue to be the focus of the SEC Enforcement Division. Echoing claims from other recent cases, such as In the Matter of Scuderi

This week in securities litigation (week ending May 31, 2013)

Dorsey & Whitney LLP
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USA
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May 31 2013

Record payments and a potentially significant MOU were the focus in securities enforcement litigation this week. French oil and gas giant Total paid

Total: the latest member of the FCPA top ten

Dorsey & Whitney LLP
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USA
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May 29 2013

With fewer recent cases there has been a lot of speculation suggesting that perhaps enforcement officials were easing-up on the FCPA. That

SEC obtains asset freeze against front running equity trader

Dorsey & Whitney LLP
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USA
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May 27 2013

The Commission's revamped inspections program, which now utilizes a risk based approach and works more closely with the Enforcement Division

This week in securities litigation (week ending May 24, 2013)

Dorsey & Whitney LLP
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USA
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May 24 2013

The focus this week in securities enforcement continues to be SAC Capital. The firm's owner received a grand jury subpoena in the on-going criminal

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Search results

This week in securities litigation (week ending June 14, 2013)

Fund directors, SEC settle after two of three claimed violations are dropped

SEC fines CBOE $6 million for regulatory failures

SEC charges adviser, principals with theft from police-firefighters

This week in securities litigation (week ending June 7, 2013)

SEC files another offering fraud action

This week in securities litigation (week ending May 31, 2013)

Total: the latest member of the FCPA top ten

SEC obtains asset freeze against front running equity trader

This week in securities litigation (week ending May 24, 2013)

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