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Results: 1-10 of 383

Fund directors, SEC settle after two of three claimed violations are dropped

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • June 14 2013

The Commission settled with eight mutual fund directors regarding the procedures used in the valuation of certain assets after months of litigation

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

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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

SEC reversed again by the D.C. Circuit

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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

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

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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
  • -
  • USA
  • -
  • 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
  • -
  • USA
  • -
  • 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

This week in securities litigation (week ending May 31, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • May 31 2013

Record payments and a potentially significant MOU were the focus in securities enforcement litigation this week. French oil and gas giant Total paid

SEC obtains asset freeze against front running equity trader

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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 May 24, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • May 24 2013

The focus this week in securities enforcement continues to be SAC Capital. The firm's owner received a grand jury subpoena in the on-going criminal

Supreme Court takes up SOX whistleblower case

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • May 20 2013

The Supreme Court agreed to hear a significant case concerning the coverage of the Sarbanes-Oxley whistleblower provisions. The central issue to be

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