We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



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


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


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


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


This is one market crisis investigation with positive results
  • Dorsey & Whitney LLP
  • USA
  • April 4 2011

The Taylor, Bean & Whitaker investigation spawned guilty plea number five on Friday


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


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


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


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


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