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Results: 1-10 of 493

Second Circuit refuses to rehear groundbreaking insider trading case
  • Katten Muchin Rosenman LLP
  • USA
  • April 10 2015

On April 3, the US Court of Appeals for the Second Circuit denied the request of Preet Bharara, US Attorney for the Southern District of New York


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


FINRA fines broker-dealer for failing to act on red flags and prevent theft by identity thief
  • Katten Muchin Rosenman LLP
  • USA
  • March 22 2015

optionsExpress, Inc. (OX), a subsidiary of Charles Schwab Corporation, was fined US $150,000 by the Financial Industry Regulatory Authority for


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


Industry advisory group advocates best practices to avoid disruptive trading of US government debt securities by automated traders
  • Katten Muchin Rosenman LLP
  • USA
  • April 12 2015

The Treasury Market Practices Group, a group of industry professionals that support the efficiency of US government securities markets, warned of


SEC brings first action against company for potentially stifling whisteleblowers with
  • Katten Muchin Rosenman LLP
  • USA
  • April 3 2015

The Securities and Exchange Commission recently charged KBR, Inc., a Delaware corporation specializing in technology and engineering, with a Rule


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


US Court of Appeals for the Eleventh Circuit upholds fraud penalties for ex-GobeTel executives
  • Katten Muchin Rosenman LLP
  • USA
  • March 7 2014

The US Court of Appeals for the Eleventh Circuit recently upheld a summary judgment decision granted in favor of the US Securities and Exchange


SEC obtains settlement for violations of registration rules and “layering”
  • Katten Muchin Rosenman LLP
  • USA
  • April 11 2014

The Securities and Exchange Commission recently announced a settlement with two brokerage firms and certain of their executives for improper


Supreme Court ruling lowers class action hurdle for securities fraud cases
  • Katten Muchin Rosenman LLP
  • USA
  • March 1 2013

On February 27, the Supreme Court upheld a lower court's determination that proof of materiality is not required before certifying a securities fraud