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Results: 1-10 of 199

What is a “Personal Benefit” for Insider Trading Tippee Liability?
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • March 9 2016

On February 29, 2016, in Securities and Exchange Commission v. Payton et al, a jury found two stockbrokers liable for trading on confidential tips


Ninth Circuit Permits SEC to Assert Standalone Claim for False Sarbanes-Oxley Certification and Confirms Disgorgement Remedy Against CEO and CFO Despite Lack of Personal Involvement In Underlying Misconduct
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • September 12 2016

In Securities & Exchange Commission v. Jensen, No. 14-55221, 2016 WL 4537377 (9th Cir. Aug. 31, 2016), the United States Court of Appeals for the


Eleventh Circuit Holds That a Corporation Is Not Distinct From Its Agents For Purposes of a RICO Enterprise, Following Sister Circuits
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • September 16 2016

In Ray v. Spirit Airlines, Inc., No. 15-13792, 2016 WL 4578347 (11th Cir. Sept. 2, 2016), the United States Court of Appeals for the Eleventh Circuit


Canada's first foreign bribery conviction shows trend in increased enforcement
  • Sheppard Mullin Richter & Hampton LLP
  • Canada
  • September 24 2013

On August 15, 2013, the Ontario Superior Court found Canadian national Nazir Karigar guilty of conspiring to offer a bribe to Indian government


Second Circuit reverses order disqualifying defense counsel in suit over demutualization of insurance company
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • October 13 2009

In Murray v. Metropolitan Life Ins. Co., No. 09-3716-CV, 2009 WL 3080462 (2d Cir. Sept. 29, 2009), the United States Court of Appeals for the Second Circuit reversed an order by the district court disqualifying defense counsel for a life insurance company in an action alleging fraud in connection with the demutualization of defendant life insurance company


Justice Department’s Kleptocracy forfeiture action against real estate allegedly linked to Honduran bribery scheme underscores U.S. government’s expansive jurisdiction
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • February 3 2015

Earlier this month, the U.S. Department of Justice filed a civil forfeiture action seeking to recover certain Louisiana real estate allegedly


The Benefit of the Doubt: SEC Scores an Insider Trading Win Despite Newman’s Personal Benefit Requirement
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • March 9 2016

On February 29, 2016, in Securities and Exchange Commission v. Payton et al, a jury found two stockbrokers liable for trading on confidential tips


First Circuit reaffirms FCA’s “first-to-file” bar as a broad jurisdictional limit
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • January 22 2015

In early December 2014, the United States Court of Appeals for the First Circuit reaffirmed that circuit's broad interpretation of the False Claims


Second Circuit affirms dismissal of suits brought by Madoff trustee against banks accused of aiding Madoff fraud
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • July 2 2013

In In re Bernard L. Madoff Investment Securities LLC, Nos. 11-5044, 11-5051, 11-5175, 11-5207, 2013 WL 3064848 (2d Cir. June 20, 2013), the United


Second Circuit upholds SEC’s authority to obtain disgorgement from non-trading insider profits earned by portfolio fund from insider trading
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • March 12 2014

In SEC v. Contorinis, 2014 U.S. App. LEXIS 2927 (2d Cir. Feb. 18, 2014), the United States Court of Appeals for the Second Circuit upheld the