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Results: 1-10 of 322

FINRA sanctions broker-dealer for failing adequately to monitor red flags regarding suspicious trading activity

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 22 2015

Cobra Trading, Inc., a broker-dealer, agreed to pay a fine of US $150,000 to the Financial Industry Regulatory Authority to resolve a disciplinary

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

Bharara appeals Second Circuit’s decision vacating insider trading convictions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 30 2015

Preet Bharara, United States Attorney for the Southern District of New York, has petitioned the United States Court of Appeals for the Second Circuit

Federal prosecutors charge Canadian trader in “layering” scheme

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 23 2015

The US Attorney for the District of New Jersey recently filed criminal securities and wire fraud charges against a Canadian man, Aleksandr Milrud

Canadian citizen charged by SEC with unlawful layering involving traders in China and Korea

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

The Securities and Exchange Commission filed a civil action in the US federal court in New Jersey against Aleksandr Milrud, claiming that he engaged

Government seeks extended prison term in securities fraud case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 16 2015

In a sentencing memorandum filed January 2, the United States Attorney’s Office in Washington asked the US District Court for the Western District of

SEC charges Chilean citizens with insider trading concerning tender offer for Chilean

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 9 2015

The Securities and Exchange Commission recently filed suit in the US District Court for the Southern District of New York, alleging that defendants

Broker-dealer fined US $3 million by FINRA for customer protection rule violations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 4 2015

Pershing LLCa registered broker-dealerwas fined US $3 million by the Financial Industry Regulatory Authority for not complying with Securities and

Southern district dismisses complaints against China North director and consultant

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

On December 10, a New York district court judge dismissed a securities fraud class action brought by investors in China North East Petroleum Holdings

SEC urges Third Circuit to adopts its interpretation of whistleblower retaliation protections

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

Last week, the Securities and Exchange Commission submitted an amicus brief in support of an appellant before the US Court of Appeals for the Third