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The SEC charges City of Harrisburg with fraud

Dorsey & Whitney LLP
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USA
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May 6 2013

For the first time the SEC charged a municipality for making false and misleading statements outside of its securities disclosure documents. The

The new SEC Chair charts a course for the agency

Dorsey & Whitney LLP
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USA
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May 5 2013

Commentators have speculated since the appointment of Mary Jo White as SEC Chair that there would be a new emphasis on enforcement. Ms. White's

Status: the SEC just “liked” using social media for certain company announcements

Dorsey & Whitney LLP
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USA
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May 3 2013

When the CEO of Netflix posted new company metrics on his personal Facebook page last summer, everyone inside and outside the social world took

This week in securities litigation (week ending May 3, 2013)

Dorsey & Whitney LLP
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USA
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May 3 2013

The FCPA continued to be a focus this week. Another Alstrom executive was added to a pending criminal prosecution in a superseding indictment

The “no knowledge” defense in a criminal securities fraud case

Dorsey & Whitney LLP
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USA
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May 1 2013

Can a defendant plead guilty to criminal securities fraud, get a presentence report with a sentencing guideline recommendation of 121-151 months and

The SEC prevails in the D.C. Circuit

Dorsey & Whitney LLP
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USA
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May 1 2013

The Dodd-Frank provision requiring the disclosure of certain payments made to foreign governments relating to the commercial development of oil

SEC secures $2.7 million judgment against broker and others

Dorsey & Whitney LLP
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USA
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April 28 2013

The Commission prevailed on a motion for summary judgment against a brokerage firm, its principle and a former managing director, ultimately securing

This week in securities litigation (week ending April 26, 2013)

Dorsey & Whitney LLP
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USA
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April 26 2013

George Canellos and Andrew Ceresney, two former colleagues in the Manhattan U.S. Attorney's Office, became the first Co-Directors of the SEC's

SEC’s action seeking PRC audit papers moves forward

Dorsey & Whitney LLP
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China, USA
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April 24 2013

The SEC's action seeking to compel the production of documents from the Chinese affiliate of Deloitte and Touche is moving toward resolution. The

Former executive settles SEC insider trading case

Dorsey & Whitney LLP
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USA
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April 23 2013

The Commission filed a settled insider trading case against Mark Begelman, the former chief operating officer of Office Depot. SEC v. Begelman, Civil

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Search results

The SEC charges City of Harrisburg with fraud

The new SEC Chair charts a course for the agency

Status: the SEC just “liked” using social media for certain company announcements

This week in securities litigation (week ending May 3, 2013)

The “no knowledge” defense in a criminal securities fraud case

The SEC prevails in the D.C. Circuit

SEC secures $2.7 million judgment against broker and others

This week in securities litigation (week ending April 26, 2013)

SEC’s action seeking PRC audit papers moves forward

Former executive settles SEC insider trading case

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