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Results: 1-10 of 287

SEC brings fraud charges against oil and gas company and its CEO

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 8 2014

On August 4, the Securities and Exchange Commission instituted cease-and-desist proceedings against Houston American Energy Corp., an oil and gas

Former chief operating officer settles SEC fraud claims

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 1 2014

The Securities and Exchange Commission recently announced that Peter Jenson, the former chief operating officer of Harbinger Capital Partners LLC

Smith & Wesson pays $2 million to resolve SEC charges

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 1 2014

On July 28, Smith & Wesson Holding Corporation, one of the largest gun manufacturers in the United States, agreed to pay more than $2 million to

SEC settles third-party insider trading claim against investor relations executive

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 25 2014

The Securities and Exchange Commission recently announced a settlement with a partner at an investor relations firm who allegedly traded on inside

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

SEC obtains settlement for investment adviser’s real estate investment fraud

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 20 2014

The Securities and Exchange Commission recently announced a settlement with an investment adviser based on alleged fraud in a real estate investment

Investment adviser accused of $8.8 million fraud by SEC

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 13 2014

On June 3, the Securities and Exchange Commission filed an emergency enforcement action in the US District Court for the Southern District of New

Eleventh Circuit upholds convictions in “pump-and-dump” stock fraud scheme

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 6 2014

The US Court of Appeals for the Eleventh Circuit recently upheld convictions for defendants who engaged in an illegal pump-and-dump stock

Eleventh Circuit clarifies loss amount calculation for securities fraud sentencing

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 30 2014

The US Court of Appeals for the Eleventh Circuit recently vacated and remanded a defendant's sentence because the US District Court for the Southern

Fourth Circuit declines to extend Janus to criminal cases

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 16 2014

A three-judge panel of the US Court of Appeals for the Fourth Circuit recently affirmed the dismissal of a lawyer's habeas petition, finding that