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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 April 17, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, USA
  • April 16 2014

High speed trading continued to be a central focus in this shortened week with the markets closed on Friday. The New York Attorney General has


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


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 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


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


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 March 14, 2014)
  • Dorsey & Whitney LLP
  • Hong Kong, USA
  • March 13 2014

The Supreme Court agreed to hear another securities class action case next term. The issue to be considered is whether tolling applies to a statute of


A tale of two Ponzi schemes
  • Dorsey & Whitney LLP
  • United Kingdom, USA
  • September 19 2012

Ponzi schemes seem to be everywhere


This week in securities litigation (week ending February 14, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, USA
  • February 13 2014

The Commission prevailed after a two week jury trial in an insider trading case this week, ending a string of losses. The agency also filed two