We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 419

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


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


Brokerage founder and fund manager charged with fraud by SEC
  • Dorsey & Whitney LLP
  • USA
  • March 27 2013

A management company, its principal, a brokerage firm and its founder were charged with fraud in an administrative proceeding initiated by the


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


Jury convicts two men on FCPA charges
  • Dorsey & Whitney LLP
  • USA
  • August 9 2011

Joel Esquenazi, the president of Miami based Terra Telecommunications Corp., and Carlos Rodriguez, the executive vice president of the company, were convicted on all counts following a jury trial


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


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


The “no knowledge” defense in a criminal securities fraud case
  • Dorsey & Whitney LLP
  • USA
  • May 1 2013

Can a defendant plead guilty to criminal securities fraud, get a presentence report with a sentencing guideline recommendation of 121-151 months and


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