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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


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


Investors executing a short squeeze are the victims of scalping
  • Dorsey & Whitney LLP
  • USA
  • July 23 2012

A short squeeze was at the center of a recent SEC complaint brought against well known investment adviser Philip Falcone


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 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


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

Ponzi schemes seem to be everywhere


Insider trading, materiality and nonpublic information
  • Dorsey & Whitney LLP
  • USA
  • August 24 2012

Critical to the question of insider trading is whether the information in the possession of the trader is non-public and material


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


All in the family: financial fraud and a defunct company
  • Dorsey & Whitney LLP
  • USA
  • December 6 2011

The Commission brought a financial fraud action against the controlling shareholder of a now failed public company and her sister-in-law who was at one time employed by the firm