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Results: 1-10 of 28

SEC settles with bank officer in market crisis case
  • Dorsey & Whitney LLP
  • USA
  • August 25 2013

The Court entered a final judgment by consent against a former bank officer in another Commission market crisis case, SEC v. Wu, Civil Action No


This week in securities litigation (Dec. 20 30, 2013)
  • Dorsey & Whitney LLP
  • USA
  • December 29 2013

The much discussed, and long debated, Volker Rule came to center stage as the year draws to a close. Following its enactment, the American Bankers


This week in securities litigation (week ending February 14, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, USA
  • February 13 2014

The Commission prevailed after a two week jury trial in an insider trading case this week, ending a string of losses. The agency also filed two


This week in securities litigation (week ending October 26, 2012)
  • Dorsey & Whitney LLP
  • Hong Kong, United Kingdom, USA
  • October 26 2012

The focus this week was on white collar criminal securities cases


This week in securities litigation (week ending November 8, 2013)
  • Dorsey & Whitney LLP
  • USA
  • November 7 2013

SAC Capital agreed to plead guilty this week. Under the terms of the deal the firm will plead guilty to each count in the indictment, pay a total


FCPA: the First Circuit court decision defining instrumentality
  • Dorsey & Whitney LLP
  • USA
  • May 18 2014

The Eleventh Circuit Court of Appeals handed down the first decision on the question of who is a foreign official under the Foreign Corrupt Practices


All in the family: financial fraud and a defunct company
  • Dorsey & Whitney LLP
  • USA
  • December 6 2011

The Commission brought a financial fraud action against the controlling shareholder of a now failed public company and her sister-in-law who was at one time employed by the firm


Former Taylor Bean chairman found guilty
  • Dorsey & Whitney LLP
  • USA
  • April 21 2011

The collapse of Taylor, Bean & Whitaker which tumbled Colonial Bank into liquidation is one of the few market crisis investigations to yield multiple criminal indictments and SEC enforcement actions


NY AG charges Bank of New York Mellon with securities fraud
  • Dorsey & Whitney LLP
  • USA
  • October 5 2011

The New York Attorney General added Martin Act securities fraud claims and other charges to a whistleblower complaint in taking over a suit against Bank New York Mellon


SEC request for O&D bar denied
  • Dorsey & Whitney LLP
  • USA
  • August 20 2014

A frequently used remedy in Commission enforcement actions is the officer and director bar. A permanent bar has the very harsh effect of precluding