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Results: 1-10 of 318

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

Appeals court sets aside insider trading convictions saying traders distance from corporate insiders too far

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 14 2014

The convictions of two individualsTodd Newman and Anthony Chiassonfor insider trading under United States Securities law was set aside by a federal

Second Circuit clarifies a heightened standard for insider trading convictions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 12 2014

The US Court of Appeals for the Second Circuit recently held that, in order to convict a tippee for insider trading under Section 10(b) of the

SEC issues third-annual Dodd-Frank Whistleblower Program Report

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 5 2014

On November 17, the Securities and Exchange Commission released its third annual Dodd-Frank Whistleblower Program Report. The Dodd-Frank Wall Street

SEC charges company executives with issuing false press releases to inflate stock price

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 5 2014

The Securities and Exchange Commission recently charged two executives at a penny stock company with issuing false and misleading press releases