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SEC officer director bars: by what standard?

Dorsey & Whitney LLP
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USA
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May 16 2013

Sometimes it can be difficult to determine if you actually won. This may be the case for the SEC with the Second Circuit's ruling in SEC v. Bankosky

The Dell insider trading cases

Dorsey & Whitney LLP
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USA
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May 15 2013

Anthony Chiasson, the co-founder of hedge fund Level Global Investors, was sentenced on insider trading charges this week to serve 78 months in

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

This week in securities litigation (week ending May 10, 2013)

Dorsey & Whitney LLP
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USA
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May 10 2013

The focus this week was on the proposed SEC budget as new SEC Chair Mary Jo White told a House subcommittee that the agency needs about a 26

This week in securities litigation (week ending April 19, 2013)

Dorsey & Whitney LLP
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USA
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April 19 2013

The Second Circuit's pending decision in the Commission's Citigroup market crisis case continues to loom as Judge Marreno approved the over $600

SEC, USAO file kickback charges based on Argentinean bond scheme

Dorsey & Whitney LLP
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USA
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May 7 2013

Fraud charges centered on a kickback scheme that generated more over $60 million trading Venezuelan bonds which was executed by employees of a New

The “no knowledge” defense in a criminal securities fraud case

Dorsey & Whitney LLP
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USA
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May 1 2013

Can a defendant plead guilty to criminal securities fraud, get a presentence report with a sentencing guideline recommendation of 121-151 months and

Anti-corruption digest - February 2013

Dorsey & Whitney LLP
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USA
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February 21 2013

U.S. District Judge Richard J. Sullivan of the Southern District of New York denied a motion to dismiss the SEC’s charges against three foreign

Siemens executive settles FCPA charges with SEC

Dorsey & Whitney LLP
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USA
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April 18 2013

Uriel Sharef whose name became prominent in the FCPA area for a ruling dismissing one of the defendants in his case settled corruption and books and

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

SEC officer director bars: by what standard?

The Dell insider trading cases

SEC secures $2.7 million judgment against broker and others

This week in securities litigation (week ending May 10, 2013)

This week in securities litigation (week ending April 19, 2013)

SEC, USAO file kickback charges based on Argentinean bond scheme

The “no knowledge” defense in a criminal securities fraud case

Anti-corruption digest - February 2013

Siemens executive settles FCPA charges with SEC

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

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