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Results: 11-20 of 651

Eleventh Circuit upholds wire fraud conviction of defendant who did not participate in sending the fraudulent representations
  • Katten Muchin Rosenman LLP
  • USA
  • June 19 2015

On June 9, the US Court of Appeals for the Eleventh Circuit affirmed a Florida district court's refusal to acquit Linda Deavers, an Indianapolis real


District court denies motion to dismiss securities class action against Urban Outfitters
  • Katten Muchin Rosenman LLP
  • USA
  • May 8 2015

The US District Court for the Eastern District of Pennsylvania recently denied a motion to dismiss filed by Urban Outfitters, Inc. and its senior


SEC brings complaint in $68 million affinity fraud scheme
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2015

On July 6, the Securities and Exchange Commission filed a complaint in connection with a $68 million affinity fraud scheme allegedly orchestrated by


SEC settles with stock promoters in medical marijuana stock manipulation scheme
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2015

On July 9, the Securities and Exchange Commission settled with two stock promoters accused of reaping $2.5 million in illicit profits by manipulating


FSA announces financial crime and intelligence division
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • January 26 2007

The Financial Services Authority (FSA) announced on January 22 that it had established a new Financial Crime and Intelligence Division with an initial staff of 55


FINRA’s NAC strengthens Sanction Guidelines related to fraud and suitability
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2015

On May 12, the Financial Industry Regulatory Authority announced that the National Adjudicatory Council (NAC) revised its Sanction Guidelines to call


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


Oppenheimer & Co. fined US $2.5 million by FINRA for failure to supervise salesperson previously convicted of broadway fraud
  • Katten Muchin Rosenman LLP
  • USA
  • March 29 2015

The Financial Industry Regulatory Authority fined Oppenheimer & Co. Inc. US $2.5 million for failing to supervise one of its former salespersons


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


Former MF Global broker agrees to US $500,000 CFTC fine for attempting to manipulate palladium and platinum settlement prices from 2006 through 2008
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

Joseph Welsh, a former broker for MF Global, agreed to settle charges by the Commodity Futures Trading Commission against him that, from at least