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Results: 1-10 of 453

Appeals court sets aside insider trading convictions saying traders distance from corporate insiders too far
  • Katten Muchin Rosenman LLP
  • USA
  • December 14 2014

The convictions of two individualsTodd Newman and Anthony Chiassonfor insider trading under United States Securities law was set aside by a federal


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


Goldman Sachs receives SEC approval for new approach to satisfy certain Reg SHO obligations
  • Katten Muchin Rosenman LLP
  • USA
  • November 2 2014

Goldman Sachs Execution & Clearing, LP requested and obtained relief from the Securities and Exchange Commission related to certain of its close-out


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


SEC secures victory on fraud allegations against technology executive
  • Katten Muchin Rosenman LLP
  • USA
  • April 10 2015

The US District Court for the District of Columbia took the unusual step of granting summary judgment against a technology company executive who the


Merrill Lynch fined US $6 million by FINRA for Reg SHO violations and supervisory lapses
  • Katten Muchin Rosenman LLP
  • USA
  • November 2 2014

The Financial Industry Regulatory Authority fined two Merrill Lynch companies US $ 6 million in aggregate for not complying with certain requirements


Federal prosecutors charge Canadian trader in “layering” scheme
  • Katten Muchin Rosenman LLP
  • USA
  • January 23 2015

The US Attorney for the District of New Jersey recently filed criminal securities and wire fraud charges against a Canadian man, Aleksandr Milrud


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


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