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SEC loses claimed Ponzi scheme case at trial
  • Dorsey & Whitney LLP
  • USA
  • April 2 2013

The SEC lost a claimed Ponzi scheme case following a bench trial in a decision handed down late last week. The complaint alleged that a privately


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


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


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


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


This week in securities litigation (week ending April 4, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, United Kingdom, USA
  • April 3 2014

High speed trading and insider trading were key topics this week. Author Michael Lewis released a new book on high speed trading and, in an interview


Insider trading: Neil Rollins
  • Dorsey & Whitney LLP
  • USA
  • January 28 2011

Neil Rollins, former senior manager of PM Onboard Limited, was sentenced following a verdict finding him guilty of insider trading


Insider trading the end of an executive’s career
  • Dorsey & Whitney LLP
  • USA
  • March 21 2012

Insider trading continues to be a key focus of the SEC as well as the DOJ


SEC files two offering fraud cases
  • Dorsey & Whitney LLP
  • USA
  • November 6 2013

Offering fraud and Ponzi scheme cases have, in recent years, become a staple of the SEC Enforcement Division. Some of these cases are simple shams


Market professional charged with insider trading by SEC USAO
  • Dorsey & Whitney LLP
  • USA
  • February 24 2014

Another market professional apparently chose to make a bad day worse. It is bad enough to be caught up and charged with insider trading in a civil SEC