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Results: 1-10 of 429

Hedge fund manager sanctioned for defrauding investors by hiding Madoff losses and theft
  • Katten Muchin Rosenman LLP
  • USA
  • October 12 2014

A federal judge ordered Nikolai Battoo and two companies he controlled, BC Capital Group S.A. (Panama) and BC Capital Group (Hong Kong) Limited, to


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


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


SEC charges executive with insider trading ahead of client announcements
  • Katten Muchin Rosenman LLP
  • USA
  • August 29 2014

The Securities and Exchange Commission recently filed a complaint in the US District Court for the Southern District of New York against a director


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


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


SEC sues former principals of sanctioned broker-dealer for causing firm not to pay agreed-upon fine
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2014

Through an action in a federal court in New Jersey, the Securities and Exchange Commission sought to recover a previously agreed-upon fine against


SEC issues third-annual Dodd-Frank Whistleblower Program Report
  • Katten Muchin Rosenman LLP
  • USA
  • December 5 2014

On November 17, the Securities and Exchange Commission released its third annual Dodd-Frank Whistleblower Program Report. The Dodd-Frank Wall Street


SEC charges company executives with issuing false press releases to inflate stock price
  • Katten Muchin Rosenman LLP
  • USA
  • December 5 2014

The Securities and Exchange Commission recently charged two executives at a penny stock company with issuing false and misleading press releases