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Results: 1-10 of 460

Eleventh Circuit affirms arbitration dismissal in favor of investor’s estate in clawback suit

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 16 2015

The receiver of hedge funds that were part of a $168 million Ponzi scheme was unable to vacate an arbitration award denying clawback claims brought

SEC argues in Second Circuit amicus brief that Dodd-Frank protects inside whistleblowers

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 20 2015

On February 6, the Securities Exchange Commission filed an amicus brief advising the United States Court of Appeals for the Second Circuit that the

Government seeks extended prison term in securities fraud case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 16 2015

In a sentencing memorandum filed January 2, the United States Attorney’s Office in Washington asked the US District Court for the Western District of

Court denies motion to dismiss claims against “winners” of Ponzi scheme

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 29 2009

The receiver of a collapsed Ponzi scheme orchestrated and maintained by Val Edmund Southwick brought an action for fraudulent transfer and unjust enrichment against two consultants to Mr. Southwick’s organizations who allegedly received millions of dollars in consulting fees during the period in which he operated the Ponzi scheme

SEC brings lawsuit against former Carter’s executive for insider trading and tipping

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 14 2014

On March 7, the Securities and Exchange Commission filed a complaint in the US District Court for the Northern District of Georgia against Richard

Appropriate cautionary language leads to dismissal of investor’s securities fraud suit

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 4 2014

A California district court recently dismissed Mellanox Technologies Ltd. investors' claims that the company made false statements about both its

SEC seeks return of CEO profits under SOX 304 clawback provision

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 24 2009

The Securities and Exchange Commission recently filed a complaint in the U.S. District Court for the District of Arizona against Maynard Jenkins, former CEO of CSK Auto Corp. (CSK), alleging violations of section 304 of the Sarbanes Oxley Act of 2002 (SOX

New York Court of Appeals finds life settlement brokers have a fiduciary duty to their clients

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 2 2009

In October 2006, the Attorney General of New York State commenced an enforcement action against Coventry First LLC and its parent corporation, executive vice-president and an affiliate (collectively, Coventry First

Investment Advisers Act has a onethree-year statute of limitations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 13 2009

The U.S. District Court for the Eastern District of Texas adopted the magistrate judge’s findings and recommended disposition and granted summary judgment in favor of the defendants

Court holds late fee provision is not liquidated damages provision

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 23 2009

The United States District Court for the District of Delaware denied defendant issuer’s motion to dismiss plaintiff’s claims for actual damages resulting from the defendant’s failure to file a registration statement within the time period required by the parties’ agreement