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Results: 11-20 of 846

Southern District of New York dismisses complaint against Madoff-invested fund
  • Katten Muchin Rosenman LLP
  • USA
  • August 9 2013

The US District Court for the Southern District of New York dismissed a complaint against J. Ezra Merkin and Gabriel Capital Corporation (together


Eleventh Circuit clarifies loss amount calculation for securities fraud sentencing
  • Katten Muchin Rosenman LLP
  • USA
  • May 30 2014

The US Court of Appeals for the Eleventh Circuit recently vacated and remanded a defendant's sentence because the US District Court for the Southern


Appeal tribunal confirms £8 million market manipulation fine
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • February 1 2013

On January 28, the Upper Tribunal (Tax and Chancery Chamber) upheld the decision of the Regulatory Decisions Committee (RDC) of the UK Financial


SEC obtains settlement for investment adviser’s real estate investment fraud
  • Katten Muchin Rosenman LLP
  • USA
  • June 20 2014

The Securities and Exchange Commission recently announced a settlement with an investment adviser based on alleged fraud in a real estate investment


Investment adviser accused of $8.8 million fraud by SEC
  • Katten Muchin Rosenman LLP
  • USA
  • June 13 2014

On June 3, the Securities and Exchange Commission filed an emergency enforcement action in the US District Court for the Southern District of New


ESMA Publishes MAR Guidelines for EU-Listed Issuers on Delaying Disclosure of Inside Information
  • Katten Muchin Rosenman LLP
  • European Union
  • October 28 2016

On October 20, the European Securities and Markets Authority (ESMA) published guidelines (Guidelines) on the scope of circumstances where an


UK Financial Service Regulator Proposes Mission Statement Describes When It Will Bring Enforcement Actions
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • October 30 2016

The UK Financial Conduct Authority under Andrew Bailey, its new Chief Executive, issued a mission statement in which, among other things, it


Eleventh Circuit upholds convictions in “pump-and-dump” stock fraud scheme
  • Katten Muchin Rosenman LLP
  • USA
  • June 6 2014

The US Court of Appeals for the Eleventh Circuit recently upheld convictions for defendants who engaged in an illegal pump-and-dump stock


Smith & Wesson pays $2 million to resolve SEC charges
  • Katten Muchin Rosenman LLP
  • USA
  • August 1 2014

On July 28, Smith & Wesson Holding Corporation, one of the largest gun manufacturers in the United States, agreed to pay more than $2 million to


District Court finds that Securities Exchange Act covers stock “float” manipulation
  • Katten Muchin Rosenman LLP
  • USA
  • February 1 2013

In a self-described "precedent-setting" order, the US District Court for the Eastern District of Pennsylvania recently found that the Securities