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Results: 1-10 of 411

The SEC, insider trading, golf and e-mails

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 13 2014

Insider trading is generally a profit making venture. But not always as a group of golf friends recently learned - and documented in numerous e-mails

The SEC, an idea, insider trading and the Wyly case

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

The SEC got a much needed courtroom win with a jury verdict in the Wyly case. The insider trading claim, however, was not submitted to the jury

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

How to trap a tiger regulators’ nets tighten around Tiger Asia on both sides of the Pacific

  • Dorsey & Whitney LLP
  • -
  • Hong Kong, USA
  • -
  • August 21 2013

Government securities enforcement agencies in Hong Kong and the United States have been pursuing Tiger Asia Management and its affiliates for four

Fund principal partially resolves administrative charges

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • April 7 2014

A principal of an investment adviser partially settled a previously filed administrative proceeding which centers on claims that he and another

This week in securities litigation (week ending June 20, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, European Union, Hong Kong, Japan, United Kingdom, USA
  • -
  • June 19 2014

High speed trading and conflict of interest in the market place were the topics of the week. Two Senate committees held hearings on the issues which

Market professional charged with insider trading by SEC USAO

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 24 2014

Another market professional apparently chose to make a bad day worse. It is bad enough to be caught up and charged with insider trading in a civil SEC

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

SFO prevails in first contested overseas corruption trial

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • June 18 2014

The U.K.'s Serious Frauds Office prevailed in its first overseas corruption trial, securing a jury verdict in its favor and against two former

Dark pools, high speed trading and the NY AG’s suit against Barclays

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • June 25 2014

The New York Attorney General's insider trading 2.0 investigation is apparently expanding. Initially the investigation concerned the limits of