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Results: 1-10 of 168

SEC gives insider outside bounty for whistleblowing
  • Sutherland Asbill & Brennan LLP
  • USA
  • March 27 2015

On March 2, 2015, the U.S. Securities and Exchange Commission awarded a whistleblower at least $475,000 for providing original, high-quality


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


Chronicles of the New York False Claims Act: Lantheus and BMS settle for $6.2 million
  • Sutherland Asbill & Brennan LLP
  • USA
  • March 24 2014

The New York Attorney General's office posted a press release on March 14, 2014 announcing that Lantheus Medical Imaging (Lantheus) and Bristol-Myers


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 settles market timing case involving an officer of a broker-dealer (MF)
  • Sutherland Asbill & Brennan LLP
  • USA
  • July 10 2007

The SEC settled a market timing case with Jerome Snyder, the former Chief Administrative Officer of Trautman Wasserman & Company, Inc. (TWCO), a registered broker-dealer


Southern district of New York rejects extraterritorial application of Dodd-Frank’s whistleblower anti-retaliation provision
  • Sutherland Asbill & Brennan LLP
  • USA
  • October 24 2013

Over the past three years, federal courts have confronted a number of unsettled questions raised by the whistleblower provisions of the Dodd-Frank


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


SEC adopts hedge fund antifraud rule, which extends to mutual funds (HF, IA & MF)
  • Sutherland Asbill & Brennan LLP
  • USA
  • August 8 2007

The SEC voted unanimously to adopt a new antifraud rule under the Investment Advisers Act of 1940 that clarifies its ability to bring enforcement actions under the Advisers Act


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