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Results: 1-10 of 170

Federal courts bars extraterritorial application of Dodd-Frank’s anti-retaliation provision to whistleblowers employed abroad
  • Sutherland Asbill & Brennan LLP
  • USA
  • October 23 2012

In Asadi v. G.E. Energy (USA), LLC, a federal district court in Texas held that Dodd-Frank’s anti-retaliation protections for SEC whistleblowers do not apply to employees stationed abroad


Former CFO of hedge fund Boston Provident charged with securities fraud
  • Sutherland Asbill & Brennan LLP
  • USA
  • December 7 2009

The SEC charged Ezra C. Levy, former Chief Financial Officer of a New York-based hedge fund, with securities fraud for arranging secret sales of securities from his personal trading account to the hedge fund accounts at inflated prices to generate his own illicit profits


SEC proposes a rule that would make naked short-selling a fraudulent activity
  • Sutherland Asbill & Brennan LLP
  • USA
  • March 17 2008

The SEC has proposed an anti-fraud rule, Rule 10b-21 under the Securities Exchange Act of 1934, aimed at short sellers, including broker-dealers acting for their own accounts, who deceive specified persons, such as a broker or dealer, about their intention or ability to deliver securities in time for settlement and that fail to deliver securities by settlement date


New Mexico man charged with misappropriating millions
  • Sutherland Asbill & Brennan LLP
  • USA
  • November 6 2009

The SEC filed a civil injunctive action against Charles R. Kokesh for his role in defrauding at least 21,000 investors in four business development companies (BDCs) through a variety of schemes and contrivances


SEC Chairman Schapiro states SEC “missed numerous opportunities to discover” Madoff fraud
  • Sutherland Asbill & Brennan LLP
  • USA
  • October 2 2009

The SEC released the Executive Summary of the Inspector General’s report on why the agency failed to detect Bernard Madoff’s fraud


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


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