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DOJ files a significant market crisis case against S&P

Dorsey & Whitney LLP
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USA
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February 5 2013

The Department of Justice brought what is perhaps the most significant market crisis case to date, named as defendants rating agency Standard &

SEC files another market crisis case, naming three bank executives

Dorsey & Whitney LLP
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USA
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January 9 2013

In the wake of the worst market crisis since the great depression Main Street has clamored to hold the executives on Wall Street accountable. Perhaps more

The reach of the SEC the Hong Kong Exchange

Dorsey & Whitney LLP
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Hong Kong, USA
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December 12 2012

In Morrison v. National Australia Bank, Ltd., 130 S.Ct. 869 (2010) the Supreme Court circumscribed the reach of Exchange Act Section 10(b), limiting it to the water’s edge

Lessons from the market crisis: two new cases, the end of another

Dorsey & Whitney LLP
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USA
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November 18 2012

The SEC filed two settled actions at the end of last week tied to the residential mortgaged backed securities market

This week in securities litigation (week ending October 26, 2012)

Dorsey & Whitney LLP
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Hong Kong, United Kingdom, USA
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October 26 2012

The focus this week was on white collar criminal securities cases

The trial of a collapsed money fund: will the public finally win?

Dorsey & Whitney LLP
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USA
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October 10 2012

The Commission began trial this week in one of its highest profile market crisis cases, SEC v. Reserve Management Company, Inc., Case No. 1:09 CV 4346 (S.D.N.Y. Filed May 5, 2009

Bank officers try to conceal the impact of the financial crisis

Dorsey & Whitney LLP
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USA
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April 10 2012

A financial fraud action was brought against former bank holding company CEO Anthony Nocella and CFO J. Russell McCann by the SEC

The Commission’s latest market crisis case

Dorsey & Whitney LLP
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USA
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March 14 2012

The SEC brought another market crisis case centered on the failure of senior corporate officials to disclose the disintegrating financial condition of their company as the market crisis unfolded

SEC prevails on summary judgment in market crisis case

Dorsey & Whitney LLP
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USA
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March 8 2012

The Commission prevailed on its motion for summary judgment in a market crisis case based on the sale of risky collateralized mortgage obligations or CMOs to unsuitable retail customers

Commission wins injunction in fraudulent note case

Dorsey & Whitney LLP
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USA
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December 29 2011

The Commission prevailed and secured the entry of a permanent asset freeze as well as a permanent injunction prohibiting future violations of Securities Act Section 17(a) and Exchange Act Section 10(b) in an action centered on a fraudulent note offering