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Results: 11-20 of 555

Delaware Chancery rejects books and records demand as time-barred
  • Katten Muchin Rosenman LLP
  • USA
  • October 17 2014

The Delaware Court of Chancery recently found that a shareholder’s demand for books and records was time-barred, as the alleged basis for a


High-frequency trading firm pays us $1 million for serving too much “Gravy” on the close from June to December 2009
  • Katten Muchin Rosenman LLP
  • USA
  • October 19 2014

Athena Capital Research, LLC, a New York City-based high-frequency trading firm, settled charges brought by the Securities and Exchange Commission


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


FinCEN issues advisory on jurisdictions with AMLCFT deficiencies
  • Katten Muchin Rosenman LLP
  • USA
  • December 6 2013

The Financial Crimes Enforcement Network (FinCEN) on December 4 issued an advisory to financial institutions based on the Financial Action Task


Money manager sues SEC to stop administrative action in $1.5 billion CDO case
  • Katten Muchin Rosenman LLP
  • USA
  • March 28 2014

A money manager and his firm recently sued the Securities and Exchange Commission claiming that the agency violated their constitutional rights by


Texas District Court denies class certification in IPO securities suit
  • Katten Muchin Rosenman LLP
  • USA
  • March 28 2014

The US District Court for the Northern District of Texas recently denied class certification for a securities action arising from alleged false and


Arthrocare to pay $30 million fine to settle DOJ probe
  • Katten Muchin Rosenman LLP
  • USA
  • January 10 2014

On January 7, Texas-based surgical instrument maker ArthroCare Corp. entered into a deferred prosecution agreement (DPA) to resolve a six-year-long


SEC issues third-annual Dodd-Frank Whistleblower Program Report
  • Katten Muchin Rosenman LLP
  • USA
  • December 5 2014

On November 17, the Securities and Exchange Commission released its third annual Dodd-Frank Whistleblower Program Report. The Dodd-Frank Wall Street