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SEC officer director bars: by what standard?

Dorsey & Whitney LLP
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USA
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May 16 2013

Sometimes it can be difficult to determine if you actually won. This may be the case for the SEC with the Second Circuit's ruling in SEC v. Bankosky

The Dell insider trading cases

Dorsey & Whitney LLP
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USA
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May 15 2013

Anthony Chiasson, the co-founder of hedge fund Level Global Investors, was sentenced on insider trading charges this week to serve 78 months in

This week in securities litigation (week ending May 10, 2013)

Dorsey & Whitney LLP
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USA
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May 10 2013

The focus this week was on the proposed SEC budget as new SEC Chair Mary Jo White told a House subcommittee that the agency needs about a 26

SEC, USAO file kickback charges based on Argentinean bond scheme

Dorsey & Whitney LLP
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USA
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May 7 2013

Fraud charges centered on a kickback scheme that generated more over $60 million trading Venezuelan bonds which was executed by employees of a New

The “no knowledge” defense in a criminal securities fraud case

Dorsey & Whitney LLP
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USA
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May 1 2013

Can a defendant plead guilty to criminal securities fraud, get a presentence report with a sentencing guideline recommendation of 121-151 months and

SEC charges city and its underwriter with fraud

Dorsey & Whitney LLP
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USA
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April 30 2013

The City of Victorville California, Assistant City Manager Keith Metzler, deal underwriter and broker Newcomb & Dedios or KND and its principle

SEC secures $2.7 million judgment against broker and others

Dorsey & Whitney LLP
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USA
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April 28 2013

The Commission prevailed on a motion for summary judgment against a brokerage firm, its principle and a former managing director, ultimately securing

This week in securities litigation (week ending April 26, 2013)

Dorsey & Whitney LLP
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USA
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April 26 2013

George Canellos and Andrew Ceresney, two former colleagues in the Manhattan U.S. Attorney's Office, became the first Co-Directors of the SEC's

Another market professional pleads guilty to misleading investors

Dorsey & Whitney LLP
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USA
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April 21 2013

Market professionals continue to be a key focus of securities enforcement actions. Insider trading, market manipulation, failure to obtain best

This week in securities litigation (week ending April 19, 2013)

Dorsey & Whitney LLP
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USA
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April 19 2013

The Second Circuit's pending decision in the Commission's Citigroup market crisis case continues to loom as Judge Marreno approved the over $600

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Search results

SEC officer director bars: by what standard?

The Dell insider trading cases

This week in securities litigation (week ending May 10, 2013)

SEC, USAO file kickback charges based on Argentinean bond scheme

The “no knowledge” defense in a criminal securities fraud case

SEC charges city and its underwriter with fraud

SEC secures $2.7 million judgment against broker and others

This week in securities litigation (week ending April 26, 2013)

Another market professional pleads guilty to misleading investors

This week in securities litigation (week ending April 19, 2013)

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