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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
Layne Christensen Company
- Dorsey & Whitney LLP
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- USA
- -
- June 24 2011
Layne Christensen is another company facing an investigation by a law firm that represents shareholders in class actions against publicly traded companies
Outside directors named in SEC financial fraud case
- Dorsey & Whitney LLP
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- USA
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- March 1 2011
SEC v. DBH Industries, Inc., Civil Action No. 0:11-cv-60431 (S.D. Fla. Filed Feb. 28, 2011) and SEC v. Krantz, Civil Action No. 0:11-cv-60432 (S.D. Fla. Filed Feb. 28, 2011) are two fraud actions arising from the demise of military bullet proof vest manufacturer DBH Industries, otherwise known as Pont Blank Solutions
Another insider trading case or is it?
- Dorsey & Whitney LLP
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- USA
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- May 19 2011
SEC v. Knight, Civ. 2:11-cv-00973 (D. Ariz. Filed May 18, 2011) is a a settled insider trading case against a corporate official and her tippee friend
Part II: The new era of FCPA enforcement: expansive interpretations
- Dorsey & Whitney LLP
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- USA
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- August 30 2011
One of the defining characteristics of the new era of enforcement is an aggressive application of the statutes
The SEC continues its strict liability approach to SOX 304
- Dorsey & Whitney LLP
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- USA
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- September 7 2011
The Commission continues to pursue its strict liability policy regarding the application of Section 304 of the Sarbanes Oxley Act
A tale of two insider traders
- Dorsey & Whitney LLP
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- USA
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- March 6 2012
The SEC filed two settled insider trading cases against two professionals who traded in the same take over stock
Privilege under SOX in a PCAOB inspection of an audit firm
- Dorsey & Whitney LLP
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- USA
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- October 15 2012
The Public Company Accounting Board or PCAOB was created under the Sarbanes Oxley Act of 2002
How corporate officials can get a good night’s sleep despite current SEC enforcement trends
- Dorsey & Whitney LLP
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- USA
- -
- August 9 2012
This is the second in a series discussing new trends in SEC enforcement which impact corporate directors and officers and steps that can be taken to avoid future liability
Insider trading and determinations by the company
- Dorsey & Whitney LLP
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- USA
- -
- October 22 2012
In SEC v. Obus, Docket No. 10-4749 (2nd Cir. Decided Sept. 6, 2012) the Circuit Court found that the defendants could be held liable for insider trading despite the fact that the company concluded they had not breached any duty
Current Search
- Jurisdiction - USA
- Workarea - Litigation
- Workarea - Company & Commercial
- Author - Thomas O. Gorman
- Firm Name - Dorsey & Whitney LLP
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