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Results: 1-10 of 239

Hedge fund manager sanctioned for defrauding investors by hiding Madoff losses and theft

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

A federal judge ordered Nikolai Battoo and two companies he controlled, BC Capital Group S.A. (Panama) and BC Capital Group (Hong Kong) Limited, to

Fifth Circuit holds multiple disclosures establish loss causation in securities action

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

The US Court of Appeals for the Fifth Circuit recently held that multiple partial “corrective” disclosures collectively may satisfy the requirements

SEC settles insider trading case, finding roommate relationship created duty of trust and confidence

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 3 2014

The Securities and Exchange Commission recently accepted an offer of settlement submitted by Filip Szymik, in anticipation of a cease-and-desist

Previously unnamed middleman named in SEC insider trading suit; he allegedly ate material evidence

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 21 2014

Remember my article a few months ago regarding the managing clerk at a highly regarded law firm who passed on insider tips to a stockbroker through

SEC charges executive with insider trading ahead of client announcements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 29 2014

The Securities and Exchange Commission recently filed a complaint in the US District Court for the Southern District of New York against a director

SEC brings fraud charges against oil and gas company and its CEO

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 8 2014

On August 4, the Securities and Exchange Commission instituted cease-and-desist proceedings against Houston American Energy Corp., an oil and gas

Former chief operating officer settles SEC fraud claims

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 1 2014

The Securities and Exchange Commission recently announced that Peter Jenson, the former chief operating officer of Harbinger Capital Partners LLC

Smith & Wesson pays $2 million to resolve SEC charges

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 1 2014

On July 28, Smith & Wesson Holding Corporation, one of the largest gun manufacturers in the United States, agreed to pay more than $2 million to

SEC settles third-party insider trading claim against investor relations executive

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

The Securities and Exchange Commission recently announced a settlement with a partner at an investor relations firm who allegedly traded on inside

New York jury acquits former hedge fund manager of insider trading conspiracy

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 11 2014

In the first case of approximately 81 insider cases that the S.D.N.Y. has successfully brought alleging insider trading, a New York federal jury