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SEC officer director bars: by what standard?

Dorsey & Whitney LLP
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USA
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May 16 2013

Sometimes it can be difficult to determine if you actually won. This may be the case for the SEC with the Second Circuit's ruling in SEC v. Bankosky

The Dell insider trading cases

Dorsey & Whitney LLP
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USA
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May 15 2013

Anthony Chiasson, the co-founder of hedge fund Level Global Investors, was sentenced on insider trading charges this week to serve 78 months in

This week in securities litigation (week ending May 17, 2013)

Dorsey & Whitney LLP
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USA
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May 17 2013

Companies with China based operations were a focus this week for the SEC. The Commission filed two financial fraud actions against companies whose

SEC secures $2.7 million judgment against broker and others

Dorsey & Whitney LLP
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USA
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April 28 2013

The Commission prevailed on a motion for summary judgment against a brokerage firm, its principle and a former managing director, ultimately securing

This week in securities litigation (week ending May 10, 2013)

Dorsey & Whitney LLP
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USA
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May 10 2013

The focus this week was on the proposed SEC budget as new SEC Chair Mary Jo White told a House subcommittee that the agency needs about a 26

Where will the new administration take the SEC?

Dorsey & Whitney LLP
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USA
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May 17 2013

While the SEC Chair is battling Congress to secure a budget which approaches $2 billion the number of cases being brought by the enforcement program

This week in securities litigation (week ending April 19, 2013)

Dorsey & Whitney LLP
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USA
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April 19 2013

The Second Circuit's pending decision in the Commission's Citigroup market crisis case continues to loom as Judge Marreno approved the over $600

The Spongetech CEO and CFO settle with the SEC

Dorsey & Whitney LLP
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USA
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January 7 2013

It began with a trading suspension. Continued the next year with the filing of an enforcement action. Persisted through a preliminary injunction. Now it

Supreme Court takes up SOX whistleblower case

Dorsey & Whitney LLP
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USA
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May 20 2013

The Supreme Court agreed to hear a significant case concerning the coverage of the Sarbanes-Oxley whistleblower provisions. The central issue to be

SEC, USAO file kickback charges based on Argentinean bond scheme

Dorsey & Whitney LLP
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USA
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May 7 2013

Fraud charges centered on a kickback scheme that generated more over $60 million trading Venezuelan bonds which was executed by employees of a New

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Search results

SEC officer director bars: by what standard?

The Dell insider trading cases

This week in securities litigation (week ending May 17, 2013)

SEC secures $2.7 million judgment against broker and others

This week in securities litigation (week ending May 10, 2013)

Where will the new administration take the SEC?

This week in securities litigation (week ending April 19, 2013)

The Spongetech CEO and CFO settle with the SEC

Supreme Court takes up SOX whistleblower case

SEC, USAO file kickback charges based on Argentinean bond scheme

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