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 339

Massachusetts federal jury convicts amateur golfer for insider trading
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2015

A federal jury in the District of Massachusetts recently convicted Eric McPhail of securities fraud one of the first criminal insider trading


SEC sanctions thirty-six underwriting firms more than US $9 million for misleading offering statements
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

Thirty-six municipal underwriting firms settled enforcement actions brought by the Securities and Exchange Commission related to their use of


California brokers plead guilty to insider trading of Ardea Biosciences, Inc. stock
  • Katten Muchin Rosenman LLP
  • USA
  • June 19 2015

On June 9, Chad Wiegand and Akis Eracleous, two San-Diego based brokers, pled guilty in California district court to trading in Ardea Biosciences


Chief compliance officer sued by SEC for defrauding investors and employer broker-dealer; criminal charges also filed
  • Katten Muchin Rosenman LLP
  • USA
  • May 31 2015

The Securities and Exchange Commission filed administrative charges against William Quigley, former chief compliance officer and chief anti-money


Second Circuit dismisses suit over FBI’s wiretapping of marital conversations in securities fraud investigation
  • Katten Muchin Rosenman LLP
  • USA
  • May 29 2015

Federal Bureau of Investigation (FBI) wiretapping played an important role in the wide-ranging insider trading investigation and subsequent trials of


Former Olympic Games sponsor settles with SEC for $25 million over FCPA violations
  • Katten Muchin Rosenman LLP
  • USA
  • May 29 2015

On May 20, BHP Billiton Ltd. and BHP Billiton Plc (BHPB), a global resources company that sponsored the 2008 Beijing Summer Olympic Games, settled


Massachusetts federal court denies motion to dismiss insider trading indictment
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2015

The US District Court of Massachusetts in U.S. v. McPhail, et. al., Case No. 1:14-cr-10201, 2015 WL 2226249 (D. Mass. May 12, 2015), denied the


FINRA files enforcement action against broker-dealer, chief compliance officer and Others for unregistered sales of securities and failure to supervise
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

The Financial Industry Regulatory Authority filed an administrative complaint against Scottsdale Capital Advisors Corporation, a registered


New meaning for old words: when golf references are allegedly codes for insider trading, and deflategate is allegedly only about weight loss
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

The Securities and Exchange Commission filed civil insider-trading charges against Sean Stewart and his father, Robert Stewart, in a federal court in


FINRA’s NAC strengthens Sanction Guidelines related to fraud and suitability
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2015

On May 12, the Financial Industry Regulatory Authority announced that the National Adjudicatory Council (NAC) revised its Sanction Guidelines to call