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Results: 1-10 of 26

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

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

All in the family: financial fraud and a defunct company

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • December 6 2011

The Commission brought a financial fraud action against the controlling shareholder of a now failed public company and her sister-in-law who was at one time employed by the firm

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 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 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

Another guilty plea from the demise of Taylor Bean

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • March 15 2011

The demise of Taylor, Bean & Whitaker, as well as Colonial Bank, continues to spawn guilty pleas

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