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This week in securities litigation (week ending June 14, 2013)

Dorsey & Whitney LLP
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USA
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June 14 2013

The Commission filed a settled action alleging fraud in connection with a going private transaction based on Exchange Act Section 13(e). The agency

Fund directors, SEC settle after two of three claimed violations are dropped

Dorsey & Whitney LLP
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USA
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June 14 2013

The Commission settled with eight mutual fund directors regarding the procedures used in the valuation of certain assets after months of litigation

SEC reversed again by the D.C. Circuit

Dorsey & Whitney LLP
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USA
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June 13 2013

The SEC lost another case in the D.C. Circuit Court of Appeals. This time, however, it did not involve rule making. Rather, the action focused on the

SEC fines CBOE $6 million for regulatory failures

Dorsey & Whitney LLP
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USA
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June 11 2013

The Chicago Board of Options Exchange became the first Self-Regulatory Organization to pay a civil penalty relating to its regulatory oversight

SEC charges adviser, principals with theft from police-firefighters

Dorsey & Whitney LLP
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USA
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June 11 2013

The Commission has been bringing an increasing number of actions involving regulated entities and investment advisers. The cases involve a variety of

This week in securities litigation (week ending June 7, 2013)

Dorsey & Whitney LLP
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USA
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June 7 2013

Money market funds were the focus this week at the Commission. The agency issued proposed regulations for comment which may revise the operations of

SEC files another offering fraud action

Dorsey & Whitney LLP
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USA
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June 5 2013

Offering frauds continue to be the focus of the SEC Enforcement Division. Echoing claims from other recent cases, such as In the Matter of Scuderi

Offering fraud: an SEC enforcement staple

Dorsey & Whitney LLP
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USA
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June 4 2013

One of the new staples of SEC enforcement is offering fraud cases. When coupled with Ponzi scheme or investment fund fraud actions, they constitute a

SEC enforcement action highlights importance of internal controls

Dorsey & Whitney LLP
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USA
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June 3 2013

The Commission's action against PACCAR Inc, a commercial truck manufacturer, emphasizes the importance of good internal accounting controls. SEC v

The SEC should make financial fraud an enforcement priority now

Dorsey & Whitney LLP
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USA
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June 2 2013

At the Financial Reporting Institute Conference last week SEC Commissioner Walter and Chief Accountant Paul Beswick addressed the necessity for high

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Search results

This week in securities litigation (week ending June 14, 2013)

Fund directors, SEC settle after two of three claimed violations are dropped

SEC reversed again by the D.C. Circuit

SEC fines CBOE $6 million for regulatory failures

SEC charges adviser, principals with theft from police-firefighters

This week in securities litigation (week ending June 7, 2013)

SEC files another offering fraud action

Offering fraud: an SEC enforcement staple

SEC enforcement action highlights importance of internal controls

The SEC should make financial fraud an enforcement priority now

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