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SEC enforcement outlook for investment funds: focus on valuation, insider trading and other fraudulent practices

Kaye Scholer LLP
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USA
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March 27 2013

The SEC continues its enforcement efforts relating to hedge funds and private equity funds. In recent remarks, Bruce Karpati, Chief of the SEC

You may get lucky by not discussing merger talks

Fox Rothschild LLP
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USA
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February 18 2013

Corporate officials, who did not disclose merger talks with a competitor, did not commit securities fraud. See Filing v. Phipps, 6th Cir., No

Dividends at stake as SFO expects investors to monitor conduct of portfolio companies

CMS Cameron McKenna
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United Kingdom
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January 19 2012

On 13 January 2012, Director of the Serious Fraud Office (“SFO”), Richard Alderman gave a stark warning to shareholders and investors in companies found guilty of corruption

Misrepresentations regarding financing of buy-out of LLC interest not a 10B-5 violation

Katten Muchin Rosenman LLP
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USA
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September 30 2011

The U.S. Court of Appeals for the Eleventh Circuit affirmed summary judgment dismissing claims for, inter alia, alleged violations of federal securities laws and conspiracy to defraud brought by a member of a limited liability company (LLC) and its owners against the defendant who had financed the buy-out of the member’s one-half interest in the LLC at issue

Securities class action litigation update

BoyarMiller
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USA
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July 22 2011

On July 13, 2011, the Wall Street Journal's Law Blog referenced a report about the increased number of class action lawsuits seeking damages for lost share value filed by investors against companies involved in mergers and acquisitions

This is one market crisis investigation with positive results

Dorsey & Whitney LLP
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USA
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April 4 2011

The Taylor, Bean & Whitaker investigation spawned guilty plea number five on Friday

Who 'owns' a bribe - the recipient or victim?

Herbert Smith Freehills LLP
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United Kingdom
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March 29 2011

The Court of Appeal has given judgment in Sinclair Investments (UK) Limited v Versailles Trading Finance Limited & Others (2011 EWCA Civ 347), firmly dismissing the appeal - and the defendants' cross appeal - from the judgment of Mr Justice Lewison of 30 June 2011

Remand appropriate because fraud claim did not necessarily raise federal issue

Katten Muchin Rosenman LLP
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USA
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July 10 2009

The plaintiff filed a complaint in California state court alleging four state law causes of action, including claims for fraud, in connection with a "hostile takeover" of the plaintiff

No control person liability pursuant to terms of merger agreement

Katten Muchin Rosenman LLP
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USA
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January 11 2008

The U.S. Court of Appeals for the Fourth Circuit, in an “unpublished” decision (which is not binding precedent under the Court’s rules), affirmed the dismissal of state law securities and fraud claims brought by Sherwood Brands, Inc. against a candy cane manufacturer’s (Asher) Chairman and his sister, who was Asher’s majority shareholder, over a failed merger and acquisition deal

Search results

SEC enforcement outlook for investment funds: focus on valuation, insider trading and other fraudulent practices

You may get lucky by not discussing merger talks

Dividends at stake as SFO expects investors to monitor conduct of portfolio companies

Misrepresentations regarding financing of buy-out of LLC interest not a 10B-5 violation

Securities class action litigation update

This is one market crisis investigation with positive results

Who 'owns' a bribe - the recipient or victim?

Remand appropriate because fraud claim did not necessarily raise federal issue

No control person liability pursuant to terms of merger agreement

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