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 478

Former chief operating officer settles SEC fraud claims
  • Katten Muchin Rosenman LLP
  • USA
  • August 1 2014

The Securities and Exchange Commission recently announced that Peter Jenson, the former chief operating officer of Harbinger Capital Partners LLC


Amended SEC claims against internet media executives sustained
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2010

The U.S. District Court for the Southern District of New York (SDNY) recently sustained, in substantial part, an amended complaint by the Securities and Exchange Commission against the senior executives of StarMedia Network, Inc., an Internet portal that targets Spanish- and Portuguese-speaking markets, for accounting fraud


2012 trends in securities class action filings
  • Katten Muchin Rosenman LLP
  • USA
  • January 25 2013

On January 23, Cornerstone Research and Stanford Law School's Securities Class Action Clearinghouse released their "2012 Year in Review" report


Southern District of New York limits Dodd-Frank whistleblower protections to the United States
  • Katten Muchin Rosenman LLP
  • USA
  • October 25 2013

The US District Court for the Southern District of New York limited the scope of the Dodd-Frank Wall Street Reform and Consumer Protection Act


Gaming company’s regulatory delays insufficient to give rise to a securities fraud claim
  • Katten Muchin Rosenman LLP
  • USA
  • May 3 2013

The US District Court for the Northern District of Illinois dismissed securities fraud claims against WMS Industries (WMS), a gaming and slot machine


SEC obtains settlement for investment adviser’s real estate investment fraud
  • Katten Muchin Rosenman LLP
  • USA
  • June 20 2014

The Securities and Exchange Commission recently announced a settlement with an investment adviser based on alleged fraud in a real estate investment


Swiss national and former energy executive criminally charged under FCPA
  • Katten Muchin Rosenman LLP
  • USA
  • October 25 2013

In an illustration of the extraterritorial reach of the Foreign Corrupt Practices Act (FCPA), Alain Riedo, a Swiss citizen and the general manager of


Massachusetts District Court affirms scienter requirement of false statement crime
  • Katten Muchin Rosenman LLP
  • USA
  • May 24 2013

The District Court for the District of Massachusetts recently held that in order to obtain a conviction for making a false statement to a government


Citigroup unit sanctioned US $15 million by FINRA for equity research dissemination practices
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2014

Citigroup Global Markets Inc. was fined US $15 million by the Financial Industry Regulatory Authority, principally for supervisory failures relating


SEC whistleblower report highlights new program’s activity and success
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2012

On November 15, the Securities and Exchange Commission released its Annual Report on the Dodd-Frank Whistleblower Program (DFWP), which is required by the Dodd-Frank Wall Street Reform and Consumer Protection Act