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Results: 1-10 of 419

Jury finds against SEC
  • Dorsey & Whitney LLP
  • USA
  • December 4 2013

The SEC suffered another trial loss when a Kansas jury returned a verdict against the agency in an enforcement action brought against former NIC, Inc


How to trap a tiger regulators’ nets tighten around Tiger Asia on both sides of the Pacific
  • Dorsey & Whitney LLP
  • Hong Kong, USA
  • August 21 2013

Government securities enforcement agencies in Hong Kong and the United States have been pursuing Tiger Asia Management and its affiliates for four


Insider trading: another aggressive, settled case
  • Dorsey & Whitney LLP
  • USA
  • December 26 2011

The SEC continues to aggressively pursue insider trading with the filing of a new, settled action against seven individuals


Anti-Corruption Digest - July 2013
  • Dorsey & Whitney LLP
  • USA
  • July 25 2013

It has been reported that Alcoa World Alumina and Chemicals, a joint venture between Alcoa, Inc. and Australian based Alumina Limited ("Alumina"


Disgorgement and the Fifth Amendment in SEC actions
  • Dorsey & Whitney LLP
  • USA
  • October 18 2011

Disgorgement and the impact of the Fifth Amendment are issues which reoccur in SEC enforcement actions


This week in securities litigation (week ending May 2, 2014)
  • Dorsey & Whitney LLP
  • United Kingdom, USA
  • May 1 2014

Chair Mary Jo White testified before Congress this week. Her testimony focused on the budget, reviewing the recent work of the agency. The Commission


The SEC’s new financial fraud task force: Part VII, risk analysis and big data
  • Dorsey & Whitney LLP
  • USA
  • August 20 2013

This is the seventh in a series of articles examining the creation of the Financial Reporting and Audit Task Force along with a Center for Risk and


The first company to be tried on FCPA charges is found guilty
  • Dorsey & Whitney LLP
  • USA
  • May 11 2011

Lindsey Manufacturing, the first company to stand trial on FCPA charges, was convicted on all counts by a jury in the Central District of California yesterday


A tale of two Ponzi schemes
  • Dorsey & Whitney LLP
  • United Kingdom, USA
  • September 19 2012

Ponzi schemes seem to be everywhere


The SEC resolves a Reg FD case
  • Dorsey & Whitney LLP
  • USA
  • May 15 2012

The Commission resolved a Reg FD case with the former CEO of Presstek, Inc., Edward Marino