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 369

HTG capital files lawsuit to identify alleged spoofer
  • Katten Muchin Rosenman LLP
  • USA
  • March 15 2015

HTG Capital Partners, LLC, filed a lawsuit in a federal court in Chicago against unnamed defendants, claiming they engaged in spoofing and


Study finds whistleblowers increase penalties of regulatory enforcement actions
  • Katten Muchin Rosenman LLP
  • USA
  • March 13 2015

A recent academic paper found that whistleblower involvement in financial misrepresentation enforcement actions tends to increase (1) penalties


SEC settles insider trading case, finding roommate relationship created duty of trust and confidence
  • Katten Muchin Rosenman LLP
  • USA
  • October 3 2014

The Securities and Exchange Commission recently accepted an offer of settlement submitted by Filip Szymik, in anticipation of a cease-and-desist


SEC announces record number of enforcement actions in FY 2014
  • Katten Muchin Rosenman LLP
  • USA
  • October 24 2014

Last week, the Securities and Exchange Commission provided a summary of its enforcement activities for its fiscal year 2014 (ending in September


SEC sanctions Athena in first high-frequency trading manipulation case
  • Katten Muchin Rosenman LLP
  • USA
  • October 24 2014

On October 16, in a groundbreaking trading manipulation case, the Securities and Exchange Commission entered an Order instituting a settled


Previously unnamed middleman named in SEC insider trading suit; he allegedly ate material evidence
  • Katten Muchin Rosenman LLP
  • USA
  • September 21 2014

Remember my article a few months ago regarding the managing clerk at a highly regarded law firm who passed on insider tips to a stockbroker through


Government seeks extended prison term in securities fraud case
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2015

In a sentencing memorandum filed January 2, the United States Attorney’s Office in Washington asked the US District Court for the Western District of


Canadian citizen charged by SEC with unlawful layering involving traders in China and Korea
  • Katten Muchin Rosenman LLP
  • USA
  • January 18 2015

The Securities and Exchange Commission filed a civil action in the US federal court in New Jersey against Aleksandr Milrud, claiming that he engaged


Securities class action dismissed where information was publicly available
  • Katten Muchin Rosenman LLP
  • USA
  • October 31 2014

The US District Court for the Western District of Washington recently dismissed a securities fraud class action against Zillow, Inc. and named


Second Circuit clarifies a heightened standard for insider trading convictions
  • Katten Muchin Rosenman LLP
  • USA
  • December 12 2014

The US Court of Appeals for the Second Circuit recently held that, in order to convict a tippee for insider trading under Section 10(b) of the