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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 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

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

Citigroup: another market crisis case grounded in conflicts

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • October 20 2011

First there was Goldman, then J.P Morgan and now Citigroup

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

DOJ files a significant market crisis case against S&P

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 5 2013

The Department of Justice brought what is perhaps the most significant market crisis case to date, named as defendants rating agency Standard &

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

FCPA: the First Circuit court decision defining instrumentality

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • May 18 2014

The Eleventh Circuit Court of Appeals handed down the first decision on the question of who is a foreign official under the Foreign Corrupt Practices

This is one market crisis investigation with positive results

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • April 4 2011

The Taylor, Bean & Whitaker investigation spawned guilty plea number five on Friday