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Second Circuit dismisses suit over FBI’s wiretapping of marital conversations in securities fraud investigation
  • Katten Muchin Rosenman LLP
  • USA
  • May 29 2015

Federal Bureau of Investigation (FBI) wiretapping played an important role in the wide-ranging insider trading investigation and subsequent trials of


Chief compliance officer sued by SEC for defrauding investors and employer broker-dealer; criminal charges also filed
  • Katten Muchin Rosenman LLP
  • USA
  • May 31 2015

The Securities and Exchange Commission filed administrative charges against William Quigley, former chief compliance officer and chief anti-money


Former Olympic Games sponsor settles with SEC for $25 million over FCPA violations
  • Katten Muchin Rosenman LLP
  • USA
  • May 29 2015

On May 20, BHP Billiton Ltd. and BHP Billiton Plc (BHPB), a global resources company that sponsored the 2008 Beijing Summer Olympic Games, settled


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


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


SDNY denies motion to dismiss SEC insider trading complaint despite Newman holding
  • Katten Muchin Rosenman LLP
  • USA
  • April 17 2015

The US District Court for the Southern District of New York recently denied two defendants’ motion to dismiss a Securities and Exchange Commission


California brokers plead guilty to insider trading of Ardea Biosciences, Inc. stock
  • Katten Muchin Rosenman LLP
  • USA
  • June 19 2015

On June 9, Chad Wiegand and Akis Eracleous, two San-Diego based brokers, pled guilty in California district court to trading in Ardea Biosciences


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


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


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