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This week in securities litigation (week ending June 14, 2013)

Dorsey & Whitney LLP
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USA
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June 14 2013

The Commission filed a settled action alleging fraud in connection with a going private transaction based on Exchange Act Section 13(e). The agency

This week in securities litigation (week ending June 7, 2013)

Dorsey & Whitney LLP
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USA
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June 7 2013

Money market funds were the focus this week at the Commission. The agency issued proposed regulations for comment which may revise the operations of

SEC files another offering fraud action

Dorsey & Whitney LLP
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USA
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June 5 2013

Offering frauds continue to be the focus of the SEC Enforcement Division. Echoing claims from other recent cases, such as In the Matter of Scuderi

Offering fraud: an SEC enforcement staple

Dorsey & Whitney LLP
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USA
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June 4 2013

One of the new staples of SEC enforcement is offering fraud cases. When coupled with Ponzi scheme or investment fund fraud actions, they constitute a

SEC reversed again by the D.C. Circuit

Dorsey & Whitney LLP
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USA
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June 13 2013

The SEC lost another case in the D.C. Circuit Court of Appeals. This time, however, it did not involve rule making. Rather, the action focused on the

The Spongetech CEO and CFO settle with the SEC

Dorsey & Whitney LLP
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USA
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January 7 2013

It began with a trading suspension. Continued the next year with the filing of an enforcement action. Persisted through a preliminary injunction. Now it

This week in securities litigation (week ending May 17, 2013)

Dorsey & Whitney LLP
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USA
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May 17 2013

Companies with China based operations were a focus this week for the SEC. The Commission filed two financial fraud actions against companies whose

SEC secures $2.7 million judgment against broker and others

Dorsey & Whitney LLP
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USA
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April 28 2013

The Commission prevailed on a motion for summary judgment against a brokerage firm, its principle and a former managing director, ultimately securing

SEC obtains asset freeze against front running equity trader

Dorsey & Whitney LLP
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USA
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May 27 2013

The Commission's revamped inspections program, which now utilizes a risk based approach and works more closely with the Enforcement Division

This week in securities litigation (week ending January 18, 2013)

Dorsey & Whitney LLP
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USA
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January 18 2013

Settlement trends in Commission enforcement actions last year show increases in most case categories, according to a study released by NERA economic

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Search results

This week in securities litigation (week ending June 14, 2013)

This week in securities litigation (week ending June 7, 2013)

SEC files another offering fraud action

Offering fraud: an SEC enforcement staple

SEC reversed again by the D.C. Circuit

The Spongetech CEO and CFO settle with the SEC

This week in securities litigation (week ending May 17, 2013)

SEC secures $2.7 million judgment against broker and others

SEC obtains asset freeze against front running equity trader

This week in securities litigation (week ending January 18, 2013)

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