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Results: 1-10 of 28

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


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
  • USA, Australia, Hong Kong, United Kingdom
  • 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


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


This week in securities litigation (week ending November 1, 2013)
  • Dorsey & Whitney LLP
  • USA
  • October 31 2013

SAC Capital is close to a plea agreement in the criminal case against the firm, according to press reports. JPMorgan, in contrast, is having


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 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 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


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