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Results: 1-10 of 334

SDNY finds lack of personal jurisdiction in Foreign Corrupt Practices Act claim

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 22 2013

The US District Court for the Southern District of New York recently addressed whether the Foreign Corrupt Practices Act (FCPA) could reach a foreign

Appeal tribunal confirms £8 million market manipulation fine

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • February 1 2013

On January 28, the Upper Tribunal (Tax and Chancery Chamber) upheld the decision of the Regulatory Decisions Committee (RDC) of the UK Financial

District Court finds that Securities Exchange Act covers stock “float” manipulation

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 1 2013

In a self-described "precedent-setting" order, the US District Court for the Eastern District of Pennsylvania recently found that the Securities

SEC requires $5.4 million payment in first-ever Deferred Prosecution Agreement

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 20 2011

The Securities and Exchange Commission entered into a Deferred Prosecution Agreement (DPA) with Tenaris S.A. in the SEC's first-ever use of such agreement to facilitate and reward cooperation with the SEC

SEC obtains $585 million judgment against MRI International for Ponzi scheme

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 6 2015

A Nevada District Court granted the Securities and Exchange Commission’s request for a $585 million judgment against MRI International, Inc. and its

Money manager sues SEC to stop administrative action in $1.5 billion CDO case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 28 2014

A money manager and his firm recently sued the Securities and Exchange Commission claiming that the agency violated their constitutional rights by

Texas District Court denies class certification in IPO securities suit

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 28 2014

The US District Court for the Northern District of Texas recently denied class certification for a securities action arising from alleged false and

High-frequency trading firm pays us $1 million for serving too much “Gravy” on the close from June to December 2009

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2014

Athena Capital Research, LLC, a New York City-based high-frequency trading firm, settled charges brought by the Securities and Exchange Commission

New York jury acquits former hedge fund manager of insider trading conspiracy

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 11 2014

In the first case of approximately 81 insider cases that the S.D.N.Y. has successfully brought alleging insider trading, a New York federal jury

Broker-dealer and two senior officers fined US $2.5 million for market access violations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 23 2014

Wedbush Securities Inc. and two senior officers resolved an enforcement action previously filed against them during June 2014 by the Securities and