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Results: 11-20 of 780

Developments in white collar criminal enforcement: the government remains aggressive, and the courts' reaction is mixed
  • Katten Muchin Rosenman LLP
  • USA
  • April 6 2015

The first quarter of 2015 witnessed a continuing effort by government lawyers to push the boundaries of criminal statutes in white collar cases&mdash


SEC announces record number of enforcement actions in FY 2014
  • Katten Muchin Rosenman LLP
  • USA
  • October 24 2014

Last week, the Securities and Exchange Commission provided a summary of its enforcement activities for its fiscal year 2014 (ending in September


SEC sanctions Athena in first high-frequency trading manipulation case
  • Katten Muchin Rosenman LLP
  • USA
  • October 24 2014

On October 16, in a groundbreaking trading manipulation case, the Securities and Exchange Commission entered an Order instituting a settled


CFTC charges pastor used Peregrine Financial Group collapse as cover to help defraud congregants
  • Katten Muchin Rosenman LLP
  • USA
  • April 5 2015

The Commodity Futures Trading Commission sued Wesley Brown, Edward Rubin and Maverick International, Inc. in a federal court in Florida for


FFIEC releases revised BSAAML Examination Manual
  • Katten Muchin Rosenman LLP
  • USA
  • December 5 2014

On November 26, the Federal Financial Institutions Examination Council (FFIEC) released the revised Bank Secrecy ActAnti-Money Laundering (BSAAML


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


FINRA fines broker-dealer for failing to act on red flags and prevent theft by identity thief
  • Katten Muchin Rosenman LLP
  • USA
  • March 22 2015

optionsExpress, Inc. (OX), a subsidiary of Charles Schwab Corporation, was fined US $150,000 by the Financial Industry Regulatory Authority for


FinCEN updates list of jurisdictions with deficient AML and counter-terrorist financing regimes
  • Katten Muchin Rosenman LLP
  • USA
  • March 22 2015

The Financial Action Task Force of the US Department of Justice has updated its list of jurisdictions with significant anti-money laundering and


FCA bans former trader after LIBOR fraud conviction
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • March 22 2015

The Financial Conduct Authority has prohibited Paul Robson from performing any function with any entity subject to oversight by it. This is because


Deutsche Bank fined US $2.5 billion by four regulators for LIBOR and FX manipulation
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • April 26 2015

Three regulatory agencies in the United States and one in the United Kingdom filed and settled charges against Deutsche Bank AG and one subsidiary