We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 7,634

New Hampshire man pleads guilty regarding accounts in Switzerland, Israel, and Jersey

  • Baker & Hostetler LLP
  • -
  • USA
  • -
  • October 21 2014

On October 20, 2014, Menashe Cohen pleaded guilty in New Hampshire federal court to one count of filing a false income tax return for failing to

SEC announces first-ever market manipulation case against high-frequency trading firm

  • White & Case LLP
  • -
  • USA
  • -
  • October 21 2014

On October 16, 2014, the US Securities and Exchange Commission (SEC) announced a settlement in the amount of US$1 million with Athena Capital

FINRA again cautions against confidentiality provisions silencing whistleblowers

  • Proskauer Rose LLP
  • -
  • USA
  • -
  • October 20 2014

As reported this week by Law360 (subscription required), the Financial Industry Regulatory Authority (FINRA) recently issued a reminder (Regulatory

Investment advisor compliance officer charged by SEC for altering document related to insider trading probe

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2014

The Securities and Exchange Commission has commenced an administrative action against Judy Wolf, a former compliance consultant to Wells Fargo

High-frequency trading firm pays us $1 million for serving too much “Gravy” on the close from June to December 2009

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2014

Athena Capital Research, LLC, a New York City-based high-frequency trading firm, settled charges brought by the Securities and Exchange Commission

Corporate Crime Update - October 2014 - United States

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • October 17 2014

On September 22, the SEC reported that it expected to provide an award of more than $30 million to a whistleblower who provided key information which

FINRA issues guidance notice to warn against settlements barring whistleblower tips

  • BuckleySandler LLP
  • -
  • USA
  • -
  • October 17 2014

This month, FINRA issued guidance notice 14-40 to reminds firms that “it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and

Update: Supreme Court declines to define instrumentality under FCPA

  • McGuireWoods LLP
  • -
  • USA
  • -
  • October 17 2014

On October 6, 2014, the U.S. Supreme Court denied an August 14, 2014, petition for writ of certiorari by Joel Esquenazi and Carlos Rodriquez, former

Sixth Circuit articulates new standard for evaluating corporate scienter in securities fraud claims

  • Bass, Berry & Sims PLC
  • -
  • USA
  • -
  • October 17 2014

On October 10, 2014, the Sixth Circuit revisited the standard for pleading scienter and a material misrepresentation or omission to support a

Delaware Chancery rejects books and records demand as time-barred

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 17 2014

The Delaware Court of Chancery recently found that a shareholder’s demand for books and records was time-barred, as the alleged basis for a