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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

Goldman Sachs receives SEC approval for new approach to satisfy certain Reg SHO obligations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 2 2014

Goldman Sachs Execution & Clearing, LP requested and obtained relief from the Securities and Exchange Commission related to certain of its close-out

Merrill Lynch fined US $6 million by FINRA for Reg SHO violations and supervisory lapses

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 2 2014

The Financial Industry Regulatory Authority fined two Merrill Lynch companies US $ 6 million in aggregate for not complying with certain requirements

Securities class action dismissed where information was publicly available

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 31 2014

The US District Court for the Western District of Washington recently dismissed a securities fraud class action against Zillow, Inc. and named

District Court holds video game company’s optimistic statements are not actionable

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 31 2014

The US District Court for the Northern District of California recently dismissed a securities fraud class action against Electronic Arts, Inc. (EA

SEC announces record number of enforcement actions in FY 2014

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 24 2014

Last week, the Securities and Exchange Commission provided a summary of its enforcement activities for its fiscal year 2014 (ending in September

SEC sanctions Athena in first high-frequency trading manipulation case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 24 2014

On October 16, in a groundbreaking trading manipulation case, the Securities and Exchange Commission entered an Order instituting a settled