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Results: 1-10 of 339

SEC, USAO file kickback charges based on Argentinean bond scheme

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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

SEC secures $2.7 million judgment against broker and others

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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

The Dell insider trading cases

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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 April 19, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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

The SEC charges City of Harrisburg with fraud

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • May 6 2013

For the first time the SEC charged a municipality for making false and misleading statements outside of its securities disclosure documents. The

This week in securities litigation (week ending August 24, 2012)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 23 2012

Money market reform, a cause long championed by SEC Chairman Mary Schapiro, will not go forward at this time

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

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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

Siemens executive settles FCPA charges with SEC

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • April 18 2013

Uriel Sharef whose name became prominent in the FCPA area for a ruling dismissing one of the defendants in his case settled corruption and books and

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

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • 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

Insider trading the end of an executive’s career

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • March 21 2012

Insider trading continues to be a key focus of the SEC as well as the DOJ

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