We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 417

SEC claims three recidivists took investors for millions of dollars

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • December 17 2012

Three repeat securities law violators teamed up to defraud 70 investors of over $9 million over three years

This week in securities litigation (week ending December 21, 2012)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • December 21 2012

This week before Christmas Bloomberg reports that SEC Enforcement Director Robert Khuzami will resign shortly

The SEC’s new financial fraud task force: Part VII, risk analysis and big data

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 20 2013

This is the seventh in a series of articles examining the creation of the Financial Reporting and Audit Task Force along with a Center for Risk and

Insider trading: Neil Rollins

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • January 28 2011

Neil Rollins, former senior manager of PM Onboard Limited, was sentenced following a verdict finding him guilty of insider trading

SEC settles financial fraud case

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

Two senior executives at Veolia Environmental Services Special Services, a U.S. subsidiary of Paris based multi-national Veolia Environment S.A

This week in securities litigation (week ending November 22, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • November 21 2013

The Supreme Court and the JPMorgan settlement were the focus of securities litigation this week. The High Court agreed to hear a securities class

Jury convicts two men on FCPA charges

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 9 2011

Joel Esquenazi, the president of Miami based Terra Telecommunications Corp., and Carlos Rodriguez, the executive vice president of the company, were convicted on all counts following a jury trial

Angela Aguilar

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • December 22 2011

In a related matter, the government has agreed to vacate the conviction of Angela Aguilar pending its appeal of Judge Matz’s dismissal of the indictments against Ms. Aguilar’s co-defendants, Lindsay Manufacturing, Keith Lindsey and Steve Lee

Movie producer, five others settle insider trading case

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • May 9 2012

Earlier this week the Commission went to Montana to name a daughter and her father in an insider trading action

Insider trading, materiality and nonpublic information

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 24 2012

Critical to the question of insider trading is whether the information in the possession of the trader is non-public and material