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Results: 11-20 of 737

Fourth Circuit affirms conviction in Virginia bank fraud case
  • Katten Muchin Rosenman LLP
  • USA
  • June 12 2015

The US Court of Appeals for the Fourth Circuit recently affirmed convictions for conspiracy to commit bank fraud and other related charges against


Proprietary trading firm agrees to pay more than US $8 million to SEC to resolve market access charges emanating from faulty software
  • Katten Muchin Rosenman LLP
  • USA
  • October 4 2015

Latour Trading LLC, a Securities and Exchange Commission-registered broker-dealer and proprietary trading firm, agreed to pay more than US $8 million


Tenth Circuit affirms clawback from unsuspecting recipient of funds under Uniform Fraudulent Transfer Act
  • Katten Muchin Rosenman LLP
  • USA
  • June 5 2015

The US Court of Appeals for the Tenth Circuit recently upheld the grant of summary judgment for the receiver of a business that was alleged to have


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


Claiming tipper received no benefit, defendant invokes Newman in seeking to dismiss insider trading allegations
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2015

A defendant in an insider trading case who allegedly profited from his inside knowledge recently filed a motion to dismiss in the US District Court


Anti-money laundering update: HM Treasury advisory notice on money laundering and terrorist financing controls
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 20 2015

On November 12, HM Treasury published an advisory note on money laundering and terrorist financing controls in jurisdictions outside the European


optionsXpress sanctioned by FINRA for not adjusting open share orders to reflect dividends
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2015

optionsXpress, Inc. - a subsidiary of The Charles Schwab Corporation - agreed to pay a fine of US $165,000 to the Financial Industry Regulatory


FINRA files enforcement action against broker-dealer, chief compliance officer and Others for unregistered sales of securities and failure to supervise
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

The Financial Industry Regulatory Authority filed an administrative complaint against Scottsdale Capital Advisors Corporation, a registered


New meaning for old words: when golf references are allegedly codes for insider trading, and deflategate is allegedly only about weight loss
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

The Securities and Exchange Commission filed civil insider-trading charges against Sean Stewart and his father, Robert Stewart, in a federal court in


FCA enforcement: recent action against former investment analyst for “cherry picking”
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 20 2015

On November 17, the UK Financial Conduct Authority (FCA) published its final notice addressed to Mothahir Miah, a former investment analyst at a