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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


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


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


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


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


This week in securities litigation (week ending May 4, 2012)
  • Dorsey & Whitney LLP
  • USA
  • May 4 2012

The Commission prevailed in four court actions


This week in securities litigation (week ending February 1, 2013)
  • Dorsey & Whitney LLP
  • USA
  • February 1 2013

George Canellos and David Burger were appointed, respectively, the Acting Director and Acting Deputy Director of the SEC's Division of Enforcement


This week in securities litigation (week ending October 25, 2013)
  • Dorsey & Whitney LLP
  • USA
  • October 24 2013

The government won a significant jury verdict this week in a market crisis suit brought against Bank of America and a former officer of Countrywide


This week in securities litigation (the week ending January 10, 2014)
  • Dorsey & Whitney LLP
  • USA
  • January 9 2014

The insider trading trial of former SAC Capital official Matthew Martoma opened this week in Manhattan with jury selection. The SEC announced the


SEC, DOJ bring charges based on biofuels scam
  • Dorsey & Whitney LLP
  • USA
  • September 18 2013

The SEC and the DOJ filed actions against six individuals and three companies centered on a fraudulent biofuels scheme. Customers of the company lost