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Results: 1-10 of 7,631

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

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

The financial report October 16, 2014 - US judicial developments

  • DLA Piper LLP
  • -
  • USA
  • -
  • October 16 2014

The dismissal of a shareholder securities fraud lawsuit has been affirmed by the US Court of Appeals for the Ninth Circuit. The Court found that the

SDNY dismisses extraterritorial SOX and Dodd Frank whistleblower claims

  • Proskauer Rose LLP
  • -
  • USA
  • -
  • October 16 2014

Failing to heed a powerful message from the Second Circuit, overseas plaintiffs are continuing to seek to pursue SOX and Dodd-Frank whistleblower