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Investment adviser convicted of defrauding employee benefit plan

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 30 2010

On April 16, the U.S. Attorney for the Eastern District of Michigan, together with the Regional Director for the Employee Benefits Security Administration (EBSA) and the Federal Bureau of Investigation’s Special Agent in Charge, announced the conviction of Anthony James for 14 criminal counts relating to his operation of a Ponzi scheme

Treasury, IRS issue proposed regulations and guidance addressing FBAR reporting requirements for retirement plans

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 5 2010

At the end of February, the Financial Crimes Enforcement Network (FinCEN) bureau of the U.S. Department of the Treasury issued proposed amendments to the Bank Secrecy Act regulations governing Reports of Foreign Bank and Financial Accounts, commonly referred to as “FBAR.”

Department of Labor criminalizes late contributions to retirement and health plans

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 25 2009

The new Assistant Secretary of Labor of the Employee Benefits Security Administration, Phyllis Borzi, recently announced a new Department of Labor (DOL) Employee Retirement Income Security Act enforcement initiative to criminalize failures to forward participant contributions to retirement and health plans

Court refuses to lift PSLRA discovery stay

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 18 2008

Plaintiffs brought a shareholder derivative action, claiming the officers and directors of Asyst Technologies, Inc. (Asyst) violated federal and state securities law by backdating stock options and making false filings with the Securities and Exchange Commission

Court finds plaintiff's new evidence insufficient to satisfy PSLRA pleading requirements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2012

In a securities fraud action, a Colorado district court denied a plaintiff employees’ retirement plan’s motion for relief from a final judgment that dismissed the plaintiff’s original complaint because it did not satisfy the pleading requirements of the Private Securities Litigation Reform Act (PSLRA

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