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Results: 1-10 of 194

No SLUSA protection absent material connection with salepurchase of covered security
  • Sutherland Asbill & Brennan LLP
  • USA
  • March 3 2014

In Chadbourne & Parke LLP v. Troice, the U.S. Supreme Court held on February 26, 2014, that the victims of Allen Stanford's multibillion-dollar Ponzi


Are we headed toward “Basic writ small”?
  • Sutherland Asbill & Brennan LLP
  • USA
  • March 6 2014

The U.S. Supreme Court heard oral argument yesterday in the closely watched Halliburton Co. v. Erica P. John Fund, Inc., No. 13-317, which places in


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 extends FBAR filing deadline for certain officers and employees does this portend changes?
  • Sutherland Asbill & Brennan LLP
  • USA
  • June 3 2011

On May 31, 2011, in FinCEN Notice 2011-1, the Department of Treasury's Financial Crimes Enforcement Network (FinCEN) extended the 2010 Report of Foreign Bank and Financial Accounts (FBAR) filing deadline from June 30, 2011, to June 30, 2012, for certain officers and employees with signature authority but no financial interest in a foreign financial account


SEC brings fraud charges against Tennessee investment adviser
  • Sutherland Asbill & Brennan LLP
  • USA
  • May 7 2009

The SEC brought fraud charges against Gordon B. Brigg, an investment adviser located in Nashville, Tennessee


Hennessee Group settles faulty due diligence charge related to client investments in the Bayou Fund
  • Sutherland Asbill & Brennan LLP
  • USA
  • May 7 2009

New York-based investment adviser Hennessee Group LLC and its principal Charles J. Gradante settled charges brought by the SEC, which had alleged that Hennessee failed to perform their advertised review and analysis before recommending that their clients invest in the Bayou hedge funds that were later discovered to be a fraud


SEC files TRO against Pang freezing his firm’s assets
  • Sutherland Asbill & Brennan LLP
  • USA
  • May 7 2009

The SEC obtained an emergency court order freezing the assets of Newport Beach, California-based financier Danny Pang and his two companies for allegedly defrauding investors of hundreds of millions of dollars by misrepresenting investments in the life insurance policies of senior citizens and in timeshare real estate


Former Fidelity employee settles insider trading charges related to information he learned at a board meeting
  • Sutherland Asbill & Brennan LLP
  • USA
  • May 7 2009

J. Thomas Talbot, a former Director of Fidelity National Financial Inc., settled an insider trading case brought by the SEC


Utah Ponzi scheme shut down
  • Sutherland Asbill & Brennan LLP
  • USA
  • May 7 2009

The SEC brought charges against Shawn R. Merriman of Aurora, Colorado, and his firm, Market Street Advisors, for conducting a multi-million dollar Ponzi scheme through the sale of interests in at least four investment funds


New York brings charges against feeder fund adviser that invested in Madoff fund
  • Sutherland Asbill & Brennan LLP
  • USA
  • May 7 2009

The State of New York brought suit against Ezra Merkin and Gabriel Capital Corporation alleging that they betrayed hundreds of investors who entrusted them with their savings by recklessly feeding their funds into the Bernard L. Madoff-advised funds, which were part of the largest Ponzi scheme in history