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This week in securities litigation (week ending January 25, 2013)

Dorsey & Whitney LLP
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USA
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January 25 2013

Changes at the top of the SEC and the DOJ's Criminal Division may signal a new direction for securities enforcement actions. Former U.S. Attorney

SEC settlements: Citigroup is argued in the Circuit Court

Dorsey & Whitney LLP
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USA
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February 10 2013

The Second Circuit Court of Appeals heard argument in SEC v. Citigroup Global Markets, Inc., No. 11-5227-cv, one of the most closely watched SEC

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

SEC files settled FCPA action

Dorsey & Whitney LLP
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USA
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April 10 2013

The SEC filed its first Foreign Corrupt Practices Act case of the year, a settled administrative proceeding which named Philips Electronics as a

This week in securities litigation (week ending January 4, 2013)

Dorsey & Whitney LLP
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USA
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January 4 2013

In this holiday shortened first week of the year, one of the most significant current cases moved forward with the entry of a not guilty plea by Mathew

A key SEC enforcement issue is argued before the Supreme Court

Dorsey & Whitney LLP
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USA
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January 8 2013

The Supreme Court heard argument yesterday in Gabelli v. SEC, No. 11-1274, a case which could have a significant impact on the SEC's enforcement program

Misrepresentations re performance

Dorsey & Whitney LLP
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USA
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January 21 2011

In the Matter of Michael R. Pelosi, Adm. Proc. File No. 3-14194 (Jan. 14, 2011) is a proceeding against the former portfolio manager at registered investment adviser Halsey Associates, Inc

Financial fraud

Dorsey & Whitney LLP
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USA
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January 21 2011

SEC v. McGhan, Civil No. 2:11-CV-74 (D. Nev. Filed Jan 14, 2011); SEC v. Maloney, Civil No. 2:11-CV-75 (D. Nev. Filed Jan. 14, 2011) are two actions centered on an alleged financial fraud at MedCor, Ltd