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Results: 1-10 of 336

SDNY imposes second highest penalty under Foreign Corrupt Practices Act

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 26 2013

The US District Court for the Southern District of New York recently ordered Uriel Sharef, a former Siemens AG board member and German citizen

Gaming company’s regulatory delays insufficient to give rise to a securities fraud claim

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 3 2013

The US District Court for the Northern District of Illinois dismissed securities fraud claims against WMS Industries (WMS), a gaming and slot machine

Delaware court dismisses securities fraud action against power plant executives

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 3 2013

The US District Court for the District of Delaware dismissed a class action for securities fraud against former officers and directors of a

Grand jury indicts Swiss lawyer and banker in tax evasion scheme

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 26 2013

A New York federal grand jury recently indicted a Swiss lawyer and bank executive for their roles in allegedly assisting US citizens with hiding

European Commission publishes proposals for revised market abuse directive

  • Katten Muchin Rosenman LLP
  • -
  • European Union, United Kingdom
  • -
  • December 9 2011

The European Commission has published its proposals for the revision of the Market Abuse Directive (20036EC) (MAD

Court orders all profits of Ponzi scheme disgorged

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 5 2009

The Securities and Exchange Commission sued individual and corporate defendants for violations of Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, arising from defendants’ sale of securities to finance the production of various entertainment projects

Illinois district court dismisses action based on lack of personal jurisdiction over individual corporate officers

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 2 2012

The U.S. District Court for the Northern District of Illinois dismissed certain claims against individual defendants in a fraud suit, holding that it lacked personal jurisdiction over those defendants

Court addresses appropriate procedure for lead plaintiff appointment

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 11 2011

The United States District Court for the Eastern District of New York recently addressed the question of how to designate a lead plaintiff in a class action brought under the Private Securities Litigation Reform Act (PSLRA) where the original named plaintiff withdraws

London hedge fund manager banned for mismarking

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • February 5 2010

On February 3, the UK Financial Services Authority (FSA) announced that it had banned Simon Treacher, a London-based hedge fund manager and fined him £140,000 (approximately $218,000) for deceiving investors by mismarking funds he managed and misleading the FSA during its investigation

FSA wins market abuse case against market maker

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • April 3 2009

On April 2, the UK Financial Services Authority (FSA) announced that it had won its market abuse case at the Financial Services and Markets Tribunal (the Tribunal) against Winterflood Securities Limited (Winterflood), the largest market maker of AIM Securities, and two Winterflood traders, Stephen Sotirou (SS) and Jason Robins (JR

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