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Results: 1-10 of 257

Appeals court sets aside insider trading convictions saying traders distance from corporate insiders too far

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 14 2014

The convictions of two individualsTodd Newman and Anthony Chiassonfor insider trading under United States Securities law was set aside by a federal

Second Circuit clarifies a heightened standard for insider trading convictions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 12 2014

The US Court of Appeals for the Second Circuit recently held that, in order to convict a tippee for insider trading under Section 10(b) of the

SEC issues third-annual Dodd-Frank Whistleblower Program Report

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 5 2014

On November 17, the Securities and Exchange Commission released its third annual Dodd-Frank Whistleblower Program Report. The Dodd-Frank Wall Street

SEC charges company executives with issuing false press releases to inflate stock price

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 5 2014

The Securities and Exchange Commission recently charged two executives at a penny stock company with issuing false and misleading press releases

Citigroup unit sanctioned US $15 million by FINRA for equity research dissemination practices

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 30 2014

Citigroup Global Markets Inc. was fined US $15 million by the Financial Industry Regulatory Authority, principally for supervisory failures relating

SEC sues former principals of sanctioned broker-dealer for causing firm not to pay agreed-upon fine

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 30 2014

Through an action in a federal court in New Jersey, the Securities and Exchange Commission sought to recover a previously agreed-upon fine against

Steak and potatoes please but hold the insider tips; former public company CEO charged with passing material nonpublic information to favorite restaurant manager

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 23 2014

The Securities and Exchange Commission filed a complaint in a federal court in New York against the former chief executive officer and member of the

CME Group sanctions member for not having adequate controls to prevent automated trading system erroneous response to bad data

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 23 2014

Credit Suisse Securities (USA) LLC settled a disciplinary action brought by the CME Group for a January 30, 2012 incident where the firm's automated

CME Group fines trader for spoofing-type offense

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 23 2014

Shlomi Salant agreed to pay a fine of US $30,000 and serve a 10-day trading suspension related to allegations by the Chicago Board of Trade that he

Broker-dealer and two senior officers fined US $2.5 million for market access violations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 23 2014

Wedbush Securities Inc. and two senior officers resolved an enforcement action previously filed against them during June 2014 by the Securities and