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Results: 1-10 of 417

This week in securities litigation (the week ending January 17, 2014)
  • Dorsey & Whitney LLP
  • USA
  • January 16 2014

The high profile insider trading trial of Matthew Martoma moved forward in New York this week with testimony on behalf of the prosecution. The SEC


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


This week in securities litigation (week ending November 22, 2013)
  • Dorsey & Whitney LLP
  • USA
  • November 21 2013

The Supreme Court and the JPMorgan settlement were the focus of securities litigation this week. The High Court agreed to hear a securities class


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


Making a bad day worse: an SEC insider trading investigation yields civil and criminal charges
  • Dorsey & Whitney LLP
  • USA
  • September 24 2013

Receiving a subpoena from the SEC in an insider trading case can be a bad day. There are ways to make it worse, much worse. A senior corporate


This week in securities litigation (week ending December 20, 2013)
  • Dorsey & Whitney LLP
  • USA
  • December 20 2013

Michael Steinberg, formerly of SAC Capital, was found guilty of insider trading by a jury. The verdict preserved the unblemished record of the US


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


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


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


This week in securities litigation (week ending April 20, 2012)
  • Dorsey & Whitney LLP
  • USA
  • April 19 2012

Congress heard testimony about the new approach the Commission is implementing to economic analysis in rule making from SEC Chairman Mary Schapiro this week