Search results

Order by most recent / most popular / relevance

Results: 1-10 of 15

DOJ files a significant market crisis case against S&P

Dorsey & Whitney LLP
-
USA
-
February 5 2013

The Department of Justice brought what is perhaps the most significant market crisis case to date, named as defendants rating agency Standard &

SEC files another market crisis case, naming three bank executives

Dorsey & Whitney LLP
-
USA
-
January 9 2013

In the wake of the worst market crisis since the great depression Main Street has clamored to hold the executives on Wall Street accountable. Perhaps more

Lessons from the market crisis: two new cases, the end of another

Dorsey & Whitney LLP
-
USA
-
November 18 2012

The SEC filed two settled actions at the end of last week tied to the residential mortgaged backed securities market

This week in securities litigation (week ending October 26, 2012)

Dorsey & Whitney LLP
-
Hong Kong, United Kingdom, USA
-
October 26 2012

The focus this week was on white collar criminal securities cases

Bank officers try to conceal the impact of the financial crisis

Dorsey & Whitney LLP
-
USA
-
April 10 2012

A financial fraud action was brought against former bank holding company CEO Anthony Nocella and CFO J. Russell McCann by the SEC

Does the SEC need authority to impose larger fines?

Dorsey & Whitney LLP
-
USA
-
December 12 2011

Does the SEC need authority to impose larger civil penalties?

All in the family: financial fraud and a defunct company

Dorsey & Whitney LLP
-
USA
-
December 6 2011

The Commission brought a financial fraud action against the controlling shareholder of a now failed public company and her sister-in-law who was at one time employed by the firm

SEC charges senior officers of failed bank with fraud

Dorsey & Whitney LLP
-
USA
-
October 12 2011

The SEC brought another significant market crisis case, this time against the senior officers of a failed financial institution

NY AG charges Bank of New York Mellon with securities fraud

Dorsey & Whitney LLP
-
USA
-
October 5 2011

The New York Attorney General added Martin Act securities fraud claims and other charges to a whistleblower complaint in taking over a suit against Bank New York Mellon

Part II: The new era of FCPA enforcement: expansive interpretations

Dorsey & Whitney LLP
-
USA
-
August 30 2011

One of the defining characteristics of the new era of enforcement is an aggressive application of the statutes