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Results: 1-10 of 155

May 1, 2013: SEC and CFTC red flag rules become effective May 20, 2013

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • May 14 2013

The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds

SEC enforcement activity: March 4-8

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • March 8 2013

Mark Cuban, the charismatic owner of the NBA’s Dallas Mavericks, lost his attempt to dismiss the SEC’s insider trading case against him, sending it to

SEC enforcement activity: Jan. 14-18

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • January 18 2013

Four defendants - Andreas Badian, Jeffrey Graham, Pond Securities, and Ezra Birnbaum - agreed to settle charges of market manipulation, the SEC

SEC enforcement activity

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • December 28 2012

The SEC has charged another broker for taking part in an insider trading scheme connected to IBM’s acquisition of SPSS. Trent Martin learned of the

SEC enforcement activity round-up

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • December 7 2012

Below are notable developments in SEC enforcement activity for the week of December 3-7, 2012

SEC enforcement activity round-up

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • November 30 2012

Below are updates on notable SEC enforcement activity from the week of November 26-30, 2012

SEC and DOJ release FCPA guide

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • November 14 2012

On November 14, 2012, the Securities and Exchange Commission and the Department of Justice released A Resource Guide to the U.S. Foreign Corrupt Practices Act

SEC makes first whistleblower award

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • August 22 2012

On August 21, 2012, the Securities and Exchange Commission ("SEC") announced that it has paid out the first award under its whistleblower award program, which was established under the 2010 Dodd-Frank Act a little more than a year ago

SEC charges Oracle with FCPA violations

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • August 17 2012

On August 16, 2012, in a Complaint filed in the U.S. District Court in the Northern District of California, the Securities and Exchange Commission ("SEC") charged Oracle Corporation with violating the Foreign Corrupt Practices Act ("FCPA"

SEC charges Pfizer and Wyeth with FCPA violations

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • August 7 2012

On August 7, 2012, the Securities and Exchange Commission (the "SEC") charged Pfizer Inc. with violating the Foreign Corrupt Practices Act ("FCPA"

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