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Results: 1-10 of 353

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


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


NY-based broker-dealer sanctioned by FINRA for not having adequate procedures to ensure employee did not trade on insider information
  • Katten Muchin Rosenman LLP
  • USA
  • March 1 2015

First New York Securities LLC was fined US $400,000 for failing to have adequate systems and controls to detect insider trading by Kenneth Allen, a


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


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


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


Broker-dealer fined US $3 million by FINRA for customer protection rule violations
  • Katten Muchin Rosenman LLP
  • USA
  • January 4 2015

Pershing LLCa registered broker-dealerwas fined US $3 million by the Financial Industry Regulatory Authority for not complying with Securities and


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