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Results: 1-10 of 25

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

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

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 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

SEC files another market crisis case, naming three bank executives

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • January 9 2013

In the wake of the worst market crisis since the great depression Main Street has clamored to hold the executives on Wall Street accountable. Perhaps more

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

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