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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


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


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 (June 3, 2011)
  • Dorsey & Whitney LLP
  • USA
  • June 3 2011

Questions about what many claim is the sparse number of market crisis cases continued to swirl on Capital Hill


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


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


CFTC fiscal 2013: significant cases, increasing criminalization
  • Dorsey & Whitney LLP
  • USA
  • October 27 2013

The CFTC stepped up its enforcement activity in fiscal 2013, brining a number of significant actions, according to a recent report by the agency


SEC files another market crisis case, naming three bank executives
  • Dorsey & Whitney LLP
  • USA
  • January 9 2013

In the wake of the worst market crisis since the great depression Main Street has clamored to hold the executives on Wall Street accountable. Perhaps more


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


DOJ files a significant market crisis case against S&P
  • Dorsey & Whitney LLP
  • USA
  • February 5 2013

The Department of Justice brought what is perhaps the most significant market crisis case to date, named as defendants rating agency Standard &