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Results: 1-10 of 419

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


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 enforcement trends 2011: analysis and conclusions
  • Dorsey & Whitney LLP
  • USA
  • May 23 2011

The Division of Enforcement is critical to the overall mission of the SEC


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 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


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 gives SEC split verdict in insider trading front running trial
  • Dorsey & Whitney LLP
  • USA
  • January 14 2014

The Commission was handed a split verdict in its insider trading - front running case against Siming Yang and his investment company, Prestige Trade


This week in securities litigation (week ending July 3, 2014)
  • Dorsey & Whitney LLP
  • Australia, USA
  • July 2 2014

In a holiday shortened week, dark pools were again a focus for regulators. This week FINRA sanctioned Goldman Sachs in connection with the operation


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


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