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Results: 1-10 of 28

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


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 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


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


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


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 &


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


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