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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 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 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 (week ending February 7, 2014)

  • Dorsey & Whitney LLP
  • -
  • Australia, Hong Kong, United Kingdom, USA
  • -
  • February 6 2014

Matthew Martoma was convicted of insider trading by a Manhattan jury. That jury found him guilty of one count of conspiracy and two counts of

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

Former Taylor Bean chairman found guilty

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • April 21 2011

The collapse of Taylor, Bean & Whitaker which tumbled Colonial Bank into liquidation is one of the few market crisis investigations to yield multiple criminal indictments and SEC enforcement actions

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

SEC settles suitability case tied to selling CDOs to schools

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • September 28 2011

The Commission brought another enforcement action arising out of the multi-million loss suffered by five Wisconsin school districts induced to purchase highly leveraged notes tied to the performance of synthetic collateralized debt obligations or CDOs