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This week in securities litigation (week ending October 26, 2012)

  • Dorsey & Whitney LLP
  • -
  • Hong Kong, United Kingdom, USA
  • -
  • October 26 2012

The focus this week was on white collar criminal securities cases

Anti-corruption digest

  • Dorsey & Whitney LLP
  • -
  • Global, United Kingdom, USA
  • -
  • December 21 2012

Several U.S. mayors are on trial for, under investigation for, or have just been found guilty of charges related to extortion and bribery. A brief rundown:

Credit Suisse traders charged by SEC, DOJ

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 2 2012

In significant market crisis based actions, the SEC and the U.S. Attorney for Manhattan brought, respectively, civil and criminal charges against former Credit Suisse Group traders centered on the overpricing of subprime bonds

The first case for the President’s Residential Mortgage-Backed Securities Working Group

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • October 3 2012

The President’s Residential Mortgage-Backed Securities Working Group, announced earlier this year in the State of the Union speech, brought its first case

DOJ files a significant market crisis case against S&P

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 5 2013

The Department of Justice brought what is perhaps the most significant market crisis case to date, named as defendants rating agency Standard &

SEC files another market crisis case, naming three bank executives

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

In the wake of the worst market crisis since the great depression Main Street has clamored to hold the executives on Wall Street accountable. Perhaps more

NY AG charges Bank of New York Mellon with securities fraud

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • October 5 2011

The New York Attorney General added Martin Act securities fraud claims and other charges to a whistleblower complaint in taking over a suit against Bank New York Mellon

SEC Enforcement: a mixed day

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • November 10 2011

SEC Enforcement got mixed results yesterday

All in the family: financial fraud and a defunct company

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • December 6 2011

The Commission brought a financial fraud action against the controlling shareholder of a now failed public company and her sister-in-law who was at one time employed by the firm

Does the SEC need authority to impose larger fines?

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • December 12 2011

Does the SEC need authority to impose larger civil penalties?

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