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Results: 1-10 of 26

SEC settles with bank officer in market crisis case

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 25 2013

The Court entered a final judgment by consent against a former bank officer in another Commission market crisis case, SEC v. Wu, Civil Action No

This week in securities litigation (week ending February 14, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, Hong Kong, USA
  • -
  • February 13 2014

The Commission prevailed after a two week jury trial in an insider trading case this week, ending a string of losses. The agency also filed two

This week in securities litigation (Dec. 20 30, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • December 29 2013

The much discussed, and long debated, Volker Rule came to center stage as the year draws to a close. Following its enactment, the American Bankers

This week in securities litigation (week ending October 26, 2012)

  • Dorsey & Whitney LLP
  • -
  • Hong Kong, United Kingdom, USA
  • -
  • October 26 2012

The focus this week was on white collar criminal securities cases

This week in securities litigation (week ending November 8, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • November 7 2013

SAC Capital agreed to plead guilty this week. Under the terms of the deal the firm will plead guilty to each count in the indictment, pay a total

CFTC fiscal 2013: significant cases, increasing criminalization

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • October 27 2013

The CFTC stepped up its enforcement activity in fiscal 2013, brining a number of significant actions, according to a recent report by the agency

Financial adviser sentenced to prison for securities fraud

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 25 2011

A former Smith Barney financial adviser, Sanjeev Jayant Kumar Shah, was sentenced to serve thirty-eight months in prison for securities fraud in connection with the handling of two client accounts

Commission wins injunction in fraudulent note case

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • December 29 2011

The Commission prevailed and secured the entry of a permanent asset freeze as well as a permanent injunction prohibiting future violations of Securities Act Section 17(a) and Exchange Act Section 10(b) in an action centered on a fraudulent note offering

Part II: The new era of FCPA enforcement: expansive interpretations

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 30 2011

One of the defining characteristics of the new era of enforcement is an aggressive application of the statutes

The reach of the SEC the Hong Kong Exchange

  • Dorsey & Whitney LLP
  • -
  • Hong Kong, USA
  • -
  • December 12 2012

In Morrison v. National Australia Bank, Ltd., 130 S.Ct. 869 (2010) the Supreme Court circumscribed the reach of Exchange Act Section 10(b), limiting it to the water’s edge