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Results: 1-10 of 182

U.S. District Judge in Florida dismisses SEC action against corporate defendants and holds that five-year statute of limitations removed the court’s subject-matter jurisdiction
  • Sutherland Asbill & Brennan LLP
  • USA
  • May 22 2014

On May 12, Judge James Lawrence King of the U.S. District Court for the Southern District of Florida dismissed with prejudice the U.S. Securities and


Fraud charges brought against Maryland adviser (IA)
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 15 2008

The SEC brought an administrative action against Marc A. Freedman, of Gaithersburg, Maryland


Former UBS broker charged with fraudulent hedge fund scheme
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 14 2008

The SEC filed a complaint charging Justin M. Paperny of Studio City, California, a former broker with UBS Financial Services, Inc. for his role in fraud involving a hedge fund fraud


Mutual fund portfolio manager charged with insider trading
  • Sutherland Asbill & Brennan LLP
  • USA
  • August 21 2007

The SEC issued an order instituting administrative proceedings against Joseph A. Frohna pursuant to Section 203(f) of the Advisers Act


Soft dollar case brought against investment adviser
  • Sutherland Asbill & Brennan LLP
  • USA
  • August 15 2007

The SEC sanctioned Schultze Asset Management LLC (SAM), a New York registered investment adviser, and George J. Schultze, age 37, its principal, for making false and misleading statements concerning SAM's soft dollar practices and for failing to provide and modifying books and records requested by the SEC's staff during an onsite inspection


Final judgments entered against Connecticut hedge fund adviser
  • Sutherland Asbill & Brennan LLP
  • USA
  • August 29 2007

Final judgments have been entered by consent against Scott R. Sacane, Durus Capital Management, LLC, and Durus Capital Management (N.A.), LLC (collectively, Durus) in a civil fraud action the SEC filed against them on October 12, 2005


Is there a “good faith” defense to securities fraud? Courts, the SEC and FINRA in conflict
  • Sutherland Asbill & Brennan LLP
  • USA
  • April 29 2008

Courts, the SEC and FINRA have taken inconsistent positions regarding whether defendants can assert a “good faith” defense in securities fraud cases


Supreme Court decides materiality need not be demonstrated for class certification
  • Sutherland Asbill & Brennan LLP
  • USA
  • February 27 2013

This morning the United States Supreme Court affirmed class certification in Amgen, Inc. v. Connecticut Retirement Plans and Trust Funds, a


SEC freezes UK hedge fund assets
  • Sutherland Asbill & Brennan LLP
  • United Kingdom, USA
  • June 3 2008

The SEC issued a release stating that the High Court of Justice in London, at the SEC’s request, has issued an order freezing assets held in the United Kingdom by Glenn Manterfield, a citizen of the United Kingdom and a resident of Sheffield, England


Fraud charge brought against hedge fund adviser
  • Sutherland Asbill & Brennan LLP
  • USA
  • June 3 2008

The U.S. District for the Southern District of California entered an order preliminarily enjoining defendants Plus Money, Inc. and Matthew La Madrid from violating the antifraud provisions of the federal securities laws