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

Dorsey & Whitney LLP
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USA
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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

The SEC's new Director of Enforcement outlines new initiatives

Venable LLP
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USA
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September 1 2009

In a speech on August 5, 2009, to the New York City Bar Association, the SEC’s new Director of Enforcement, Robert Khuzami, outlined several new initiatives to be undertaken by the Division of Enforcement and provided further detail about previously mentioned initiatives

House passes the Fraud Enforcement and Recovery Act of 2009; would establish a Financial Crisis Inquiry Commission for 18-month investigation of the U.S. financial crisis

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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May 7 2009

Yesterday, the House of Representatives passed the Fraud Enforcement and Recovery Act of 2009 (“FERA”) (S.326), which, among other things, establishes a Financial Crisis Inquiry Commission (“Commission”) with broad powers to investigate the domestic and global causes of the current financial and economic crisis in the United States

CEO granted partial summary judgment on SEC’s Sarbanes-Oxley claims

Katten Muchin Rosenman LLP
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USA
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January 16 2009

Defendant was the CEO and Chairman of Engineered Support Systems, Inc

The Ninth Circuit adopts "holistic" approach to scienter and raises the bar for securities fraud plaintiffs

Squire Sanders
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USA
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January 20 2009

On January 12, 2009 the Ninth Circuit Court of Appeals reinforced the protections of the Private Securities Litigation Reform Act of 1995 (PSLRA) through its first substantial interpretation of the Supreme Court's Tellabs, Inc. v. Makor Issues & Rights, Ltd. decision regarding the pleading requirements for scienter in securities fraud complaints

Court upholds “asset freeze” against non-parties’ property

Katten Muchin Rosenman LLP
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USA
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January 16 2009

Simultaneous with the Securities and Exchange Commission's filing of a complaint alleging massive securities fraud perpetrated by Joseph Shereshevsky and companies with which he was associated, the SEC obtained an order freezing the defendants' assets

SEC settles with Nature’s Sunshine Products, Inc., and two of its officers

Cadwalader Wickersham & Taft LLP
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USA
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August 31 2009

On July 31, 2009, the SEC filed a settled enforcement proceeding against Nature’s Sunshine Products, Inc. (“NSP”), a publicly held manufacturer of nutritional and personal care products, its Chief Executive Officer, Douglas Faggioli and its former Chief Financial Officer, Craig D. Huff

“Fraud on the market” presumption requires showing of loss causation

Katten Muchin Rosenman LLP
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USA
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May 25 2007

Plaintiffs, common stock investors in Allegiance, a national telecommunications provider, brought a securities fraud class action lawsuit under section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 alleging that former Allegiance executives fraudulently misrepresented information about the company’s operations, which resulted in a drop in the company’s stock price when a corrective disclosure was ultimately made

Fraud charges brought against hedge fund adviser

Sutherland Asbill & Brennan LLP
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USA
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June 1 2007

The SEC brought administrative charges against Albert E. Parish, Jr., charging Parish with fraud in connection with the operations of a hedge fund

Zurich Capital Markets settles charges brought by the SEC for allegedly financing illegal market timing by hedge funds (MF)

Sutherland Asbill & Brennan LLP
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USA
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June 1 2007

Zurich Capital Markets Inc. ("ZCM") settled administrative charges brought by the SEC for allegedly financing illegal market timing by hedge funds

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Search results

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

The SEC's new Director of Enforcement outlines new initiatives

House passes the Fraud Enforcement and Recovery Act of 2009; would establish a Financial Crisis Inquiry Commission for 18-month investigation of the U.S. financial crisis

CEO granted partial summary judgment on SEC’s Sarbanes-Oxley claims

The Ninth Circuit adopts "holistic" approach to scienter and raises the bar for securities fraud plaintiffs

Court upholds “asset freeze” against non-parties’ property

SEC settles with Nature’s Sunshine Products, Inc., and two of its officers

“Fraud on the market” presumption requires showing of loss causation

Fraud charges brought against hedge fund adviser

Zurich Capital Markets settles charges brought by the SEC for allegedly financing illegal market timing by hedge funds (MF)

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