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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 continued focus on insider trading
  • Dorsey & Whitney LLP
  • USA
  • May 22 2012

Another high profile insider trading trial began in New York City this week


Angela Aguilar
  • Dorsey & Whitney LLP
  • USA
  • December 22 2011

In a related matter, the government has agreed to vacate the conviction of Angela Aguilar pending its appeal of Judge Matz’s dismissal of the indictments against Ms. Aguilar’s co-defendants, Lindsay Manufacturing, Keith Lindsey and Steve Lee


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


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


This week in securities litigation (week ending June 6, 2014)
  • Dorsey & Whitney LLP
  • Hong Kong, United Kingdom, USA
  • June 5 2014

The SEC had mixed results in court this week. A Manhattan jury returned a verdict against the agency in a high profile and long-running insider


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 January 31, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, USA
  • January 30 2014

SEC Chair Mary Jo White declared that 2014 will be a very busy year for the Division of Enforcement. At the same time fellow Commissioner Michael


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


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