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Results: 1-10 of 24

Fine for corrupt city stockbroker

  • Dorsey & Whitney LLP
  • -
  • United Kingdom
  • -
  • July 23 2010

Simon Eagle, a former city stockbroker was given a £2.8 million fine for his part in a share ramping scheme

This week in securities litigation (February 4, 2011)

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • February 4 2011

Dodd-Frank, insider trading and the FCPA continue were key to securities regulation and enforcement this week

The UK’s Bribery Act of 2010: the obligations and risks it imposes on US employers with business in the UK

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • February 21 2011

The UK Bribery Act is expected to come into force shortly

FSA bans two hedge fund managers from securities business

  • Dorsey & Whitney LLP
  • -
  • United Kingdom
  • -
  • August 17 2011

The FSA has banned the former CEO and CFO of a collapsed hedge fund from the securities business and imposed significant fines on each as a result of their manipulative and deceptive conduct as the fund collapsed

Former Innospec Inc executive charged

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • November 18 2011

Former Innospec Inc executive, Dr David Turner, was charged at a London court for allegedly bribing Iraqi and Indonesian officials between 2002 and 2008 to secure government contracts

This week in securities litigation (December 9, 2011)

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • December 9 2011

The collapse of MF Global was a key topic on Capital Hill this week

Securities litigation trends abroad

  • Dorsey & Whitney LLP
  • -
  • Australia, Canada, Japan, United Kingdom
  • -
  • February 6 2012

The number of actions settled by the SEC in the last fiscal year remained essentially constant, according to a report prepared by NERA Economic Consulting

Two executives who defrauded their shareholders

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • June 12 2012

Two executives were in court in recent days on criminal charges

A tale of two Ponzi schemes

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • September 19 2012

Ponzi schemes seem to be everywhere

Two regulators, two stockbrokers and two fraudulent schemes

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • November 7 2012

November 5, 2012 proved to be a significant day for financial regulators