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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 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


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


The SEC’s continuing investigation regarding Carter’s, Inc.
  • Dorsey & Whitney LLP
  • USA
  • April 13 2014

Carter's Inc. is the SEC investigation that just keeps on producing cases. Recently former firm vice president Richard Posey settled insider trading


This week in securities litigation (week ending August 22, 2014)
  • Dorsey & Whitney LLP
  • USA
  • August 21 2014

The Second Circuit upheld SEC Rule 10b-5-2 which defines certain types of relationships as the predicate for insider trading. In reaching its


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


This week in securities litigation (week ending June 13, 2014)
  • Dorsey & Whitney LLP
  • Hong Kong, USA
  • June 12 2014

The Commission failed to prove its insider trading claims to the satisfaction of a jury for the second week in a row. This time a Los Angeles jury


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: the future path of enforcement (part II)
  • Dorsey & Whitney LLP
  • USA
  • January 6 2014

This is the second of a four part series analyzing the path of SEC Enforcement. The first part was published yesterday. The remaining parts of this


This week in securities litigation (week ending December 21, 2012)
  • Dorsey & Whitney LLP
  • USA
  • December 21 2012

This week before Christmas Bloomberg reports that SEC Enforcement Director Robert Khuzami will resign shortly