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Results: 1-10 of 296

Investment advisor compliance officer charged by SEC for altering document related to insider trading probe

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

The Securities and Exchange Commission has commenced an administrative action against Judy Wolf, a former compliance consultant to Wells Fargo

High-frequency trading firm pays us $1 million for serving too much “Gravy” on the close from June to December 2009

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

Athena Capital Research, LLC, a New York City-based high-frequency trading firm, settled charges brought by the Securities and Exchange Commission

Hedge fund manager sanctioned for defrauding investors by hiding Madoff losses and theft

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

A federal judge ordered Nikolai Battoo and two companies he controlled, BC Capital Group S.A. (Panama) and BC Capital Group (Hong Kong) Limited, to

Japan SESC files spoofing action

  • Katten Muchin Rosenman LLP
  • -
  • Japan
  • -
  • October 12 2014

The Japan Securities and Exchange Surveillance Commission announced it had filed charges with the Tokyo District Public Prosecutors Office against

Fifth Circuit holds multiple disclosures establish loss causation in securities action

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

The US Court of Appeals for the Fifth Circuit recently held that multiple partial “corrective” disclosures collectively may satisfy the requirements

SEC settles insider trading case, finding roommate relationship created duty of trust and confidence

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 3 2014

The Securities and Exchange Commission recently accepted an offer of settlement submitted by Filip Szymik, in anticipation of a cease-and-desist

Previously unnamed middleman named in SEC insider trading suit; he allegedly ate material evidence

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 21 2014

Remember my article a few months ago regarding the managing clerk at a highly regarded law firm who passed on insider tips to a stockbroker through

Insider dealers ordered to pay confiscation orders in excess of the profits generated from insider dealing

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • September 19 2014

On September 15, the UK Financial Conduct Authority (FCA) published a press release in which it announced that a group of persons found guilty of

SEC charges executive with insider trading ahead of client announcements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 29 2014

The Securities and Exchange Commission recently filed a complaint in the US District Court for the Southern District of New York against a director

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