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Results: 11-20 of 248

District of Colorado dismisses, in part, securities fraud claims in Ponzi scheme suit

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 4 2013

The US District Court for the District of Colorado considered several motions to dismiss a class-action suit filed by plaintiff Touchtone Group, LLC to

Second Circuit denies investor’s second appeal for new trial

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 30 2012

Frederic Bourke Jr. (Bourke) recently lost a second appeal stemming from his 2009 conviction for violating the Foreign Corrupt Practices Act (FCPA

SEC whistleblower report highlights new program’s activity and success

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 30 2012

On November 15, the Securities and Exchange Commission released its Annual Report on the Dodd-Frank Whistleblower Program (DFWP), which is required by the Dodd-Frank Wall Street Reform and Consumer Protection Act

SEC and Department of Justice release detailed FCPA resource guide

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 16 2012

On November 14, the Criminal Division of the Department of Justice and the Enforcement Division of the Securities and Exchange Commission released long-awaited guidance on the Foreign Corrupt Practices Act (FCPA

Battle of experts on damages saves securities fraud claims

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2012

The US District Court for the Southern District of California last week denied summary judgment to securities fraud defendants based on the plaintiffs’ expert testimony regarding damages

Court finds plaintiff's new evidence insufficient to satisfy PSLRA pleading requirements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2012

In a securities fraud action, a Colorado district court denied a plaintiff employees’ retirement plan’s motion for relief from a final judgment that dismissed the plaintiff’s original complaint because it did not satisfy the pleading requirements of the Private Securities Litigation Reform Act (PSLRA

Court enters judgment against Colorado Ponzi scheme perpetrator

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 5 2012

The United States District Court for the District of Colorado recently entered a judgment against Larry Michael Parrish (Parrish), who had operated a Ponzi scheme that raised approximately $9.2 million from at least 70 investors in three different states

SEC report regarding handling of material non-public information by broker-dealers

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 28 2012

The Securities and Exchange Commission issued a report by its Office of Compliance Inspections and Examinations intended to help broker-dealers safeguard material non-public information from insider trading and other misuse

District Court grants SEC's motion seeking final judgment for disgorgement against Ponzi scheme defendants

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 7 2012

The U.S. District Court for the District of Colorado granted the Securities and Exchange Commission’s motion for entry of final judgment against two defendants that had perpetrated a Ponzi scheme, ordering disgorgement and assessing civil monetary penalties equal to the difference between the amounts received from and distributed to investors

Securities fraud claim survives despite post-fraud stock recovery

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 10 2012

The U.S. Court of Appeals for the Second Circuit recently considered whether a stock’s share price recovery soon after the fraud became known defeats an inference of economic loss in a securities fraud suit at the pleading stage

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