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Results: 1-10 of 274

Oppenheimer & Co. fined US $2.5 million by FINRA for failure to supervise salesperson previously convicted of broadway fraud

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 29 2015

The Financial Industry Regulatory Authority fined Oppenheimer & Co. Inc. US $2.5 million for failing to supervise one of its former salespersons

Fourth Circuit sustains securities fraud claim against drug manufacturer

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 27 2015

On March 6, the US Court of Appeals for the Fourth Circuit found that the United States District Court for the Western District of North Carolina had

Software company to face suit over contract restructuring

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 27 2015

The United States District Court for the Northern District of California sustained a securities fraud complaint alleging that the defendants, a

FINRA fines broker-dealer for failing to act on red flags and prevent theft by identity thief

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 22 2015

optionsExpress, Inc. (OX), a subsidiary of Charles Schwab Corporation, was fined US $150,000 by the Financial Industry Regulatory Authority for

HTG capital files lawsuit to identify alleged spoofer

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 15 2015

HTG Capital Partners, LLC, filed a lawsuit in a federal court in Chicago against unnamed defendants, claiming they engaged in spoofing and

Study finds whistleblowers increase penalties of regulatory enforcement actions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 13 2015

A recent academic paper found that whistleblower involvement in financial misrepresentation enforcement actions tends to increase (1) penalties

NY-based broker-dealer sanctioned by FINRA for not having adequate procedures to ensure employee did not trade on insider information

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

First New York Securities LLC was fined US $400,000 for failing to have adequate systems and controls to detect insider trading by Kenneth Allen, a

FINRA sanctions broker-dealer for failing adequately to monitor red flags regarding suspicious trading activity

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 22 2015

Cobra Trading, Inc., a broker-dealer, agreed to pay a fine of US $150,000 to the Financial Industry Regulatory Authority to resolve a disciplinary

SEC obtains $585 million judgment against MRI International for Ponzi scheme

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 6 2015

A Nevada District Court granted the Securities and Exchange Commission’s request for a $585 million judgment against MRI International, Inc. and its

Bharara appeals Second Circuit’s decision vacating insider trading convictions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 30 2015

Preet Bharara, United States Attorney for the Southern District of New York, has petitioned the United States Court of Appeals for the Second Circuit