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Results: 1-10 of 465

HTG capital files lawsuit to identify alleged spoofer

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 15 2015

HTG Capital Partners, LLC, filed a lawsuit in a federal court in Chicago against unnamed defendants, claiming they engaged in spoofing and

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

Corrective disclosure must provide new facts or fraud-revealing analysis

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 22 2008

After a jury found that the defendant committed securities fraud under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, a district court granted the defendant’s motion for judgment as a matter of law

SDNY strikes a blow against selective waivers

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

On November 20, 2013, US District Judge Paul G. Gardephe of the US District Court for the Southern District of New York issued a decision with

Banker settles with SEC for role in Olympus scandal

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 6 2015

The Securities and Exchange Commission agreed to a settlement with Hajime Sagawa related to his alleged role as the principal and minority owner of a

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

Securities fraud claims dismissed for failure to plead with particularity

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 11 2011

Individual plaintiffs residing in Switzerland and France brought suit against four corporate defendants, as well as certain corporate officers thereof, for, among other things, violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5

FINRA requests comments on proposed changes to Forms U4 and U5

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 2 2008

The Financial Industry Regulatory Authority (FINRA) has proposed for comment changes to registration Forms U4 and U5

SEC charges company executives with issuing false press releases to inflate stock price

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 5 2014

The Securities and Exchange Commission recently charged two executives at a penny stock company with issuing false and misleading press releases

Securities fraud jury verdict against defendant hedge fund operator affirmed

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 7 2008

The Securities and Exchange Commission has won a jury verdict in a civil enforcement action that it brought against Conrad Seghers, who, through a company he controlled, was the general partner of three hedge funds