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Results: 1-10 of 402

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


SEC settles charges against middleman who ate napkins and post-it notes at NYC’s Grand Central terminal to facilitate insider trading
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2015

Frank Tamayo, who served as the alleged middleman in passing along insider trading tips from Steven Metro, a managing clerk at the Simpson Thacher


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


Software company to face suit over contract restructuring
  • Katten Muchin Rosenman LLP
  • USA
  • March 27 2015

The United States District Court for the Northern District of California sustained a securities fraud complaint alleging that the defendants, a


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


CME Group Proposes to Toughen Requirements Prohibiting Exchange Access by Persons Subject to Economic Sanctions
  • Katten Muchin Rosenman LLP
  • USA
  • January 10 2016

The CME Group is adding one new rule and amending two others to minimize the likelihood that its exchanges might be used for illicit money laundering


FINRA sanctions broker-dealer for failing adequately to monitor red flags regarding suspicious trading activity
  • Katten Muchin Rosenman LLP
  • USA
  • February 22 2015

Cobra Trading, Inc., a broker-dealer, agreed to pay a fine of US $150,000 to the Financial Industry Regulatory Authority to resolve a disciplinary


District court denies motion to dismiss securities class action against Urban Outfitters
  • Katten Muchin Rosenman LLP
  • USA
  • May 8 2015

The US District Court for the Eastern District of Pennsylvania recently denied a motion to dismiss filed by Urban Outfitters, Inc. and its senior


SEC brings complaint in $68 million affinity fraud scheme
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2015

On July 6, the Securities and Exchange Commission filed a complaint in connection with a $68 million affinity fraud scheme allegedly orchestrated by