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Industry advisory group advocates best practices to avoid disruptive trading of US government debt securities by automated traders

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2015

The Treasury Market Practices Group, a group of industry professionals that support the efficiency of US government securities markets, warned of

SEC secures victory on fraud allegations against technology executive

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 10 2015

The US District Court for the District of Columbia took the unusual step of granting summary judgment against a technology company executive who the

Second Circuit refuses to rehear groundbreaking insider trading case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 10 2015

On April 3, the US Court of Appeals for the Second Circuit denied the request of Preet Bharara, US Attorney for the Southern District of New York

SEC brings first action against company for potentially stifling whisteleblowers with

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 3 2015

The Securities and Exchange Commission recently charged KBR, Inc., a Delaware corporation specializing in technology and engineering, with a Rule

Oppenheimer & Co. fined US $2.5 million by FINRA for failure to supervise salesperson previously convicted of broadway fraud

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 29 2015

The Financial Industry Regulatory Authority fined Oppenheimer & Co. Inc. US $2.5 million for failing to supervise one of its former salespersons

Software company to face suit over contract restructuring

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 27 2015

The United States District Court for the Northern District of California sustained a securities fraud complaint alleging that the defendants, a

Fourth Circuit sustains securities fraud claim against drug manufacturer

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 27 2015

On March 6, the US Court of Appeals for the Fourth Circuit found that the United States District Court for the Western District of North Carolina had

FINRA fines broker-dealer for failing to act on red flags and prevent theft by identity thief

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

optionsExpress, Inc. (OX), a subsidiary of Charles Schwab Corporation, was fined US $150,000 by the Financial Industry Regulatory Authority for

HTG capital files lawsuit to identify alleged spoofer

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 15 2015

HTG Capital Partners, LLC, filed a lawsuit in a federal court in Chicago against unnamed defendants, claiming they engaged in spoofing and

Study finds whistleblowers increase penalties of regulatory enforcement actions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 13 2015

A recent academic paper found that whistleblower involvement in financial misrepresentation enforcement actions tends to increase (1) penalties