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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


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

Ponzi schemes seem to be everywhere


SEC claims three recidivists took investors for millions of dollars
  • Dorsey & Whitney LLP
  • USA
  • December 17 2012

Three repeat securities law violators teamed up to defraud 70 investors of over $9 million over three years


SEC secures $2.7 million judgment against broker and others
  • Dorsey & Whitney LLP
  • USA
  • April 28 2013

The Commission prevailed on a motion for summary judgment against a brokerage firm, its principle and a former managing director, ultimately securing


SEC settles financial fraud case
  • Dorsey & Whitney LLP
  • USA
  • January 15 2014

Two senior executives at Veolia Environmental Services Special Services, a U.S. subsidiary of Paris based multi-national Veolia Environment S.A


The SEC: the future path of enforcement (part II)
  • Dorsey & Whitney LLP
  • USA
  • January 6 2014

This is the second of a four part series analyzing the path of SEC Enforcement. The first part was published yesterday. The remaining parts of this


Jury rejects aggressive SEC insider trading claims
  • Dorsey & Whitney LLP
  • USA
  • February 4 2014

The SEC lost another jury trial. Following a nine day trial the jury rejected each of the Commission's claims in the aggressive insider trading case


This week in securities litigation (week ending October 19, 2012)
  • Dorsey & Whitney LLP
  • USA
  • October 19 2012

Significant events this week included the proposal by the SEC of additional swaps rules regarding security-based swap dealers and major participants


Another SEC cooperation agreement
  • Dorsey & Whitney LLP
  • USA
  • March 29 2012

Last week the Commission declined to prosecute a senior executive at AXA Rosenberg who entered into a cooperation agreement


Former FBI agent and wife charged with investment fraud
  • Dorsey & Whitney LLP
  • USA
  • October 13 2011

There is little new about another investment fund fraud or Ponzi scheme case except of course the victims