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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 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 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


Insider trading: U.S. v. Holley
  • Dorsey & Whitney LLP
  • USA
  • January 21 2011

The criminal case names as defendants George H. Holley, the co-founder of Home Diagnostics and his friend Phairot Iamnaita


This week in securities litigation (week ending October 11, 2013)
  • Dorsey & Whitney LLP
  • USA
  • October 10 2013

SEC Chair continued to define her vision for SEC enforcement this week, declaring that the agency will be the cop that is everywhere, filing large


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


Disgorgement in an SEC action when the fund has profits but not the trader
  • Dorsey & Whitney LLP
  • USA
  • February 26 2014

Earlier this month the Third Circuit resolved an issue regarding causation, intervening causes and disgorgement in an SEC enforcement action. SEC v


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


The new era of FCPA enforcement
  • Dorsey & Whitney LLP
  • Global, USA
  • August 29 2011

It has been over thirty years since the U.S. became the first country to pass anti-corruption legislation known as the Foreign Corrupt Practices Act