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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

SEC files two investment fraud actions

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 6 2014

The SEC brought two investment fraud actions. One centered on defendant Thomas J. Lawler, known as the Reverend Tom, and the sale of administrative

SEC charges oil and PR firms and their executives with fraud

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 4 2014

An energy company, its CEO and the firm's public relations adviser and its president were named in a fraud action by the SEC centered on false

SEC obtains nearly $70 million judgment based on prior jury verdict

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 3 2014

The SEC obtained a judgment for nearly $70 million in a fraud action based on a jury verdict obtained last fall. SEC v. AIC, Inc., Civil Action No

This week in securities litigation (week ending August 1, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 31 2014

The Commission continued to focus on the markets this week, brining another action involving the operation of a partially dark pool. The ECN operator

CEO, CFO named in SEC actions for concealing control problems

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

The co-founders of a Florida based computer company were nameed as Respondents in SEC administrative proceedings. The actions centers on significant

Jury convicts investment adviser on multiple counts of fraud

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

James Tagliaferri, the former President of TAG Virgin Islands, a registered investment adviser, was found guilty by a jury of one count of investment

SEC settlement: the FCPA risks of entering new markets

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 28 2014

Entering into new, international markets may be good for developing business, but it also carries certain risks. This is particularly true in many