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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 (Dec. 20 30, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • December 29 2013

The much discussed, and long debated, Volker Rule came to center stage as the year draws to a close. Following its enactment, the American Bankers

This week in securities litigation (week ending March 7, 2014)

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

The Supreme Court was the focus of securities litigation this week. Oral argument was presented in the long runningHalliburton case where the

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

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

The “no knowledge” defense in a criminal securities fraud case

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • May 1 2013

Can a defendant plead guilty to criminal securities fraud, get a presentence report with a sentencing guideline recommendation of 121-151 months and

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

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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

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

SEC secures $2.7 million judgment against broker and others

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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

All in the family: financial fraud and a defunct company

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • December 6 2011

The Commission brought a financial fraud action against the controlling shareholder of a now failed public company and her sister-in-law who was at one time employed by the firm