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Where will the new administration take the SEC?

Dorsey & Whitney LLP
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USA
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May 17 2013

While the SEC Chair is battling Congress to secure a budget which approaches $2 billion the number of cases being brought by the enforcement program

This week in securities litigation (week ending May 17, 2013)

Dorsey & Whitney LLP
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USA
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May 17 2013

Companies with China based operations were a focus this week for the SEC. The Commission filed two financial fraud actions against companies whose

The Dell insider trading cases

Dorsey & Whitney LLP
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USA
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May 15 2013

Anthony Chiasson, the co-founder of hedge fund Level Global Investors, was sentenced on insider trading charges this week to serve 78 months in

This week in securities litigation (week ending May 10, 2013)

Dorsey & Whitney LLP
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USA
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May 10 2013

The focus this week was on the proposed SEC budget as new SEC Chair Mary Jo White told a House subcommittee that the agency needs about a 26

SEC, USAO file kickback charges based on Argentinean bond scheme

Dorsey & Whitney LLP
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USA
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May 7 2013

Fraud charges centered on a kickback scheme that generated more over $60 million trading Venezuelan bonds which was executed by employees of a New

This week in securities litigation (week ending May 3, 2013)

Dorsey & Whitney LLP
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USA
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May 3 2013

The FCPA continued to be a focus this week. Another Alstrom executive was added to a pending criminal prosecution in a superseding indictment

The SEC prevails in the D.C. Circuit

Dorsey & Whitney LLP
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USA
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May 1 2013

The Dodd-Frank provision requiring the disclosure of certain payments made to foreign governments relating to the commercial development of oil

The “no knowledge” defense in a criminal securities fraud case

Dorsey & Whitney LLP
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USA
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May 1 2013

Can a defendant plead guilty to criminal securities fraud, get a presentence report with a sentencing guideline recommendation of 121-151 months and

SEC secures $2.7 million judgment against broker and others

Dorsey & Whitney LLP
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USA
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April 28 2013

The Commission prevailed on a motion for summary judgment against a brokerage firm, its principle and a former managing director, ultimately securing

This week in securities litigation (week ending April 26, 2013)

Dorsey & Whitney LLP
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USA
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April 26 2013

George Canellos and Andrew Ceresney, two former colleagues in the Manhattan U.S. Attorney's Office, became the first Co-Directors of the SEC's

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Search results

Where will the new administration take the SEC?

This week in securities litigation (week ending May 17, 2013)

The Dell insider trading cases

This week in securities litigation (week ending May 10, 2013)

SEC, USAO file kickback charges based on Argentinean bond scheme

This week in securities litigation (week ending May 3, 2013)

The SEC prevails in the D.C. Circuit

The “no knowledge” defense in a criminal securities fraud case

SEC secures $2.7 million judgment against broker and others

This week in securities litigation (week ending April 26, 2013)

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