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Results: 11-20 of 808

SEC sanctions thirty-six underwriting firms more than US $9 million for misleading offering statements
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

Thirty-six municipal underwriting firms settled enforcement actions brought by the Securities and Exchange Commission related to their use of


Massachusetts federal court denies motion to dismiss insider trading indictment
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2015

The US District Court of Massachusetts in U.S. v. McPhail, et. al., Case No. 1:14-cr-10201, 2015 WL 2226249 (D. Mass. May 12, 2015), denied the


European Commission fines ICAP 14.9 million for antitrust violations in connection with LIBOR manipulation; ICAP to challenge
  • Katten Muchin Rosenman LLP
  • European Union
  • February 8 2015

The European Commission fined ICAP plc 14.9 million (approximately US $16.9 million) for its alleged role in colluding with other brokers to


Fourth Circuit sustains securities fraud claim against drug manufacturer
  • Katten Muchin Rosenman LLP
  • USA
  • March 27 2015

On March 6, the US Court of Appeals for the Fourth Circuit found that the United States District Court for the Western District of North Carolina had


FATF Updates List of Jurisdictions With Material AMLCFTC Deficiencies
  • Katten Muchin Rosenman LLP
  • USA
  • March 27 2016

The Financial Action Task Force updated its list of jurisdictions that have material deficiencies in their anti-money laundering requirements or


Industry advisory group advocates best practices to avoid disruptive trading of US government debt securities by automated traders
  • Katten Muchin Rosenman LLP
  • USA
  • April 12 2015

The Treasury Market Practices Group, a group of industry professionals that support the efficiency of US government securities markets, warned of


SEC grants maximum whistleblower award for first retaliation action
  • Katten Muchin Rosenman LLP
  • USA
  • May 3 2015

The Securities and Exchange Commission will award over US $600,000 to a whistleblower who was retaliated against after he provided information to the


COMEX Member Settles Disciplinary Action Alleging Spoofing-Type Activities; ICE Futures Trader Agrees to Settle Alleged Position Limits Violation
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

Simon Posen, a member, agreed to pay a fine of US $90,000 to resolve charges that on multiple dates from November 2014 through March 2015 he entered


SEC settles charges against middleman who ate napkins and post-it notes at NYC’s Grand Central terminal to facilitate insider trading
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2015

Frank Tamayo, who served as the alleged middleman in passing along insider trading tips from Steven Metro, a managing clerk at the Simpson Thacher


The CSMAD: forthcoming changes to EU market abuse and insider dealing rules
  • Katten Muchin Rosenman LLP
  • European Union
  • May 21 2015

The European Union’s Market Abuse Regulation1 (MAR) will replace the European Union’s Market Abuse Directive2 (MAD) on July 3, 2016. In much of the