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Results: 1-10 of 336

CEO granted partial summary judgment on SEC’s Sarbanes-Oxley claims

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 16 2009

Defendant was the CEO and Chairman of Engineered Support Systems, Inc

Court upholds “asset freeze” against non-parties’ property

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 16 2009

Simultaneous with the Securities and Exchange Commission's filing of a complaint alleging massive securities fraud perpetrated by Joseph Shereshevsky and companies with which he was associated, the SEC obtained an order freezing the defendants' assets

“Fraud on the market” presumption requires showing of loss causation

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 25 2007

Plaintiffs, common stock investors in Allegiance, a national telecommunications provider, brought a securities fraud class action lawsuit under section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 alleging that former Allegiance executives fraudulently misrepresented information about the company’s operations, which resulted in a drop in the company’s stock price when a corrective disclosure was ultimately made

FinCEN delays implementation of revised Suspicious Activity Reports

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 25 2007

On April 26, the Financial Crimes Enforcement Network (FinCEN) filed a Federal Register notice announcing the delayed implementation of certain revised Suspicious Activity Report (SAR) forms, intended to facilitate joint filings

CFTC and FinCEN agree to information sharing

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 23 2009

The Commodity Futures Trading Commission and the Financial Crimes Enforcement Network (FinCEN) have announced an agreement to exchange information in an effort to ensure that CFTC-regulated entities are in compliance with their anti-money laundering obligations under the Bank Secrecy Act (BSA

Securities fraud claim for failure to plead loss causation dismissed

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 1 2007

Granting the defendants’ motion to dismiss the plaintiff’s securities fraud class action claim, a federal district court held that the plaintiffs failed to adequately plead loss causation because their shares in the defendants’ company lost value before, not after, the truth regarding the defendants’ purported misrepresentations was publicly disclosed

Court denies motion to dismiss securities fraud claims

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 15 2007

A securities fraud action was brought on behalf of all persons who purchased or acquired the common stock of Jarden Corp., a consumer products company, between June 29, 2005 and January 11, 2006

Federal court holds scienter sufficiently pleaded and denies motion to dismiss securities fraud claims

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 8 2009

A federal district court has ruled that plaintiffs in a securities fraud action against an investment fund and its advisors sufficiently pleaded claims under Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5

Court grants SEC’s request for permanent injunction, disgorgement and civil penalty

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 30 2009

In 2006, the Securities and Exchange Commission brought a civil action against the defendant, alleging a conspiracy to fraudulently manipulate the prices of 24 stocks

FSA publishes views on rogue trader risk

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • March 14 2008

On March 11, the UK Financial Services Authority (FSA) published Market Watch 25, which highlights measures UK authorized firms should consider to protect themselves against “rogue trader” risk

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