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Results: 1-10 of 564

Broker’s scheme to profit from trading Apple ends in DOJSEC charges

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • April 16 2013

Broker David Miller did not have inside information about the Apple earnings call scheduled for October 25, 2012. He did have something else - plans

SEC files settled FCPA action

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • April 10 2013

The SEC filed its first Foreign Corrupt Practices Act case of the year, a settled administrative proceeding which named Philips Electronics as a

This week in securities litigation (week ending January 25, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • January 25 2013

Changes at the top of the SEC and the DOJ's Criminal Division may signal a new direction for securities enforcement actions. Former U.S. Attorney

SEC settlements: Citigroup is argued in the Circuit Court

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 10 2013

The Second Circuit Court of Appeals heard argument in SEC v. Citigroup Global Markets, Inc., No. 11-5227-cv, one of the most closely watched SEC

Anti-corruption digest - January 2013

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • January 22 2013

Eli Lilly has reached a $29 million settlement with the SEC related to allegations that Lilly subsidiaries in Russia, China, Brazil, and Poland made

SEC Enforcement Director Robert Khuzami resigns

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • January 9 2013

SEC Enforcement Director Robert Khuzami officially resigned yesterday, a move which has been widely rumored in the press in recent weeks. Mr. Khuzami

This week in securities litigation (week ending January 4, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • January 4 2013

In this holiday shortened first week of the year, one of the most significant current cases moved forward with the entry of a not guilty plea by Mathew

SEC, USAO charge former broker with securities fraud tied to market crisis

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • January 28 2013

The SEC and the U.S. Attorney for the District of Connecticut filed, respectively, civil and criminal fraud charges against a former account

A key SEC enforcement issue is argued before the Supreme Court

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • January 8 2013

The Supreme Court heard argument yesterday in Gabelli v. SEC, No. 11-1274, a case which could have a significant impact on the SEC's enforcement program

RINO International Corporation

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 22 2011

RINO International Corporation ("RINO"), a Nevada corporation with all of its operating subsidiaries and affiliates based in China, recently disclosed in a filing with the SEC that it is the subject of a formal investigation by the SEC, including with respect to Foreign Corrupt Practices Act ("FCPA") compliance

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