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Results: 1-10 of 26

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 (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 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 February 7, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, United Kingdom, USA
  • February 6 2014

Matthew Martoma was convicted of insider trading by a Manhattan jury. That jury found him guilty of one count of conspiracy and two counts of


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


SEC settles suitability case tied to selling CDOs to schools
  • Dorsey & Whitney LLP
  • USA
  • September 28 2011

The Commission brought another enforcement action arising out of the multi-million loss suffered by five Wisconsin school districts induced to purchase highly leveraged notes tied to the performance of synthetic collateralized debt obligations or CDOs


Citigroup: another market crisis case grounded in conflicts
  • Dorsey & Whitney LLP
  • USA
  • October 20 2011

First there was Goldman, then J.P Morgan and now Citigroup


The reach of the SEC the Hong Kong Exchange
  • Dorsey & Whitney LLP
  • Hong Kong, USA
  • December 12 2012

In Morrison v. National Australia Bank, Ltd., 130 S.Ct. 869 (2010) the Supreme Court circumscribed the reach of Exchange Act Section 10(b), limiting it to the water’s edge


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


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