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Results: 1-10 of 247

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

Investment advisor compliance officer charged by SEC for altering document related to insider trading probe

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2014

The Securities and Exchange Commission has commenced an administrative action against Judy Wolf, a former compliance consultant to Wells Fargo

High-frequency trading firm pays us $1 million for serving too much “Gravy” on the close from June to December 2009

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2014

Athena Capital Research, LLC, a New York City-based high-frequency trading firm, settled charges brought by the Securities and Exchange Commission

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