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Results: 11-20 of 574

New York jury acquits former hedge fund manager of insider trading conspiracy
  • Katten Muchin Rosenman LLP
  • USA
  • July 11 2014

In the first case of approximately 81 insider cases that the S.D.N.Y. has successfully brought alleging insider trading, a New York federal jury


Broker-dealer and two senior officers fined US $2.5 million for market access violations
  • Katten Muchin Rosenman LLP
  • USA
  • November 23 2014

Wedbush Securities Inc. and two senior officers resolved an enforcement action previously filed against them during June 2014 by the Securities and


FinCEN revises list of FATF-identified jurisdictions with AML and counterterrorist financing deficiencies
  • Katten Muchin Rosenman LLP
  • USA
  • November 23 2014

The Financial Crimes Enforcement Network of the US Department of Treasury has updated its list of jurisdictions with anti-money laundering and


Citigroup unit sanctioned US $15 million by FINRA for equity research dissemination practices
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2014

Citigroup Global Markets Inc. was fined US $15 million by the Financial Industry Regulatory Authority, principally for supervisory failures relating


District court upholds SEC’s partial win in bank fraud suit
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2014

The US District Court for the Southern District of Florida recently refused to reconsider its earlier decision granting partial summary judgment in


SDNY grants SEC’s final summary judgment claim in securities and investment advisor fraud case
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2014

The US District Court for the Southern District of New York granted the Securities and Exchange Commission summary judgment on its one outstanding


Government seeks extended prison term in securities fraud case
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2015

In a sentencing memorandum filed January 2, the United States Attorney’s Office in Washington asked the US District Court for the Western District of


Canadian citizen charged by SEC with unlawful layering involving traders in China and Korea
  • Katten Muchin Rosenman LLP
  • USA
  • January 18 2015

The Securities and Exchange Commission filed a civil action in the US federal court in New Jersey against Aleksandr Milrud, claiming that he engaged


Securities class action dismissed where information was publicly available
  • Katten Muchin Rosenman LLP
  • USA
  • October 31 2014

The US District Court for the Western District of Washington recently dismissed a securities fraud class action against Zillow, Inc. and named


Second Circuit clarifies a heightened standard for insider trading convictions
  • Katten Muchin Rosenman LLP
  • USA
  • December 12 2014

The US Court of Appeals for the Second Circuit recently held that, in order to convict a tippee for insider trading under Section 10(b) of the