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Results: 1-10 of 162

Texas Supreme Court limits fraud claims by terminated employees
  • Sutherland Asbill & Brennan LLP
  • USA
  • May 13 2014

In a case of first impression, the Supreme Court of Texas declared that at-will employees may not bring an action for fraud that is contingent on the


FinCEN customer due diligence rule proposal
  • Sutherland Asbill & Brennan LLP
  • USA
  • August 19 2014

On July 30, 2014, the U.S. Treasury Department's Financial Crimes Enforcement Network ("FinCEN") issued proposed rules (the "Proposed Rules") to


Hedge fund manager pleads guilty to mail fraud
  • Sutherland Asbill & Brennan LLP
  • USA
  • December 7 2009

Alexander Trabulse, hedge fund manager for Fahey Hedge Fund and Fahey Financial Group, Inc., both located in San Francisco, Calif., pleaded guilty to mail fraud in the Northern District of California


Southern District of New York endorses extension of Dodd-Frank's retaliation protections to internal whistleblowers
  • Sutherland Asbill & Brennan LLP
  • USA
  • June 18 2013

In Murray v. UBS Securities, LLC,1 a federal judge in the Southern District of New York recently held that Dodd-Frank's whistleblower protections can


SEC has new initiative to enhance insider trading surveillance and detection
  • Sutherland Asbill & Brennan LLP
  • USA
  • September 16 2008

The SEC proposed a plan to consolidate regulatory insider trading surveillance and detection programs by participating self-regulatory organizations and stock exchanges (“Participating Organizations”


New anti-money laundering compliance initiatives announced
  • Sutherland Asbill & Brennan LLP
  • USA
  • September 16 2008

The SEC has announced two new anti-money laundering compliance initiatives


Identity theft initiatives announced (HF, IA & MF)
  • Sutherland Asbill & Brennan LLP
  • USA
  • May 10 2007

Attorney General Alberto R. Gonzales and Federal Trade Commission Chairman Deborah Platt Majoras have announced the completion of the President's Identity Theft Task Force strategic plan to combat identity theft


New anti-money laundering tool available
  • Sutherland Asbill & Brennan LLP
  • USA
  • May 10 2007

The SEC announced that a new compliance tool is available to assist with anti-money laundering (AML) compliance efforts by broker-dealers


Fraud charges brought against hedge fund adviser
  • Sutherland Asbill & Brennan LLP
  • USA
  • June 1 2007

The SEC brought administrative charges against Albert E. Parish, Jr., charging Parish with fraud in connection with the operations of a hedge fund


Zurich Capital Markets settles charges brought by the SEC for allegedly financing illegal market timing by hedge funds (MF)
  • Sutherland Asbill & Brennan LLP
  • USA
  • June 1 2007

Zurich Capital Markets Inc. ("ZCM") settled administrative charges brought by the SEC for allegedly financing illegal market timing by hedge funds