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Results: 1-10 of 223

SEC alleges insider trading by two friends in advance of the acquisition of the Shaw Group Inc.

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 18 2014

On April 3, the Securities and Exchange Commission brought a lawsuit against Walter Wagner and Alexander Osborn, alleging that the two friends

SEC brings lawsuit against hedge fund manager for defrauding investors

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 18 2014

On April 4, the Securities and Exchange Commission filed a complaint against Matthew D. Sample, founder of hedge fund Lobo Volatility Fund, LLC, for

SEC obtains settlement for violations of registration rules and “layering”

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

The Securities and Exchange Commission recently announced a settlement with two brokerage firms and certain of their executives for improper

Money manager sues SEC to stop administrative action in $1.5 billion CDO case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 28 2014

A money manager and his firm recently sued the Securities and Exchange Commission claiming that the agency violated their constitutional rights by

Texas District Court denies class certification in IPO securities suit

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 28 2014

The US District Court for the Northern District of Texas recently denied class certification for a securities action arising from alleged false and

SEC brings lawsuit against former Carter’s executive for insider trading and tipping

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

On March 7, the Securities and Exchange Commission filed a complaint in the US District Court for the Northern District of Georgia against Richard

SEC prevails in lawsuit involving $50 million Ponzi scheme

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

On March 6, the US District Court for the Eastern District of Michigan ordered the former leaders of an investment group to pay more than $8 million

US Court of Appeals for the Eleventh Circuit upholds fraud penalties for ex-GobeTel executives

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 7 2014

The US Court of Appeals for the Eleventh Circuit recently upheld a summary judgment decision granted in favor of the US Securities and Exchange

SEC files insider trading action despite unknown tipper

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

On February 6, the Securities and Exchange Commission filed insider trading charges against Hao He aka Jimmy He in federal district court in

District court upholds SEC’s partial win in bank fraud suit

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 7 2014

The US District Court for the Southern District of Florida recently refused to reconsider its earlier decision granting partial summary judgment in