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Results: 1-10 of 397

Investment bank group fined US $50 million by NY state agency for actions of malfeasant employee
  • Katten Muchin Rosenman LLP
  • USA
  • November 1 2015

The Goldman Sachs Group, Inc. and Goldman, Sachs & Co. agreed to pay a fine of US $50 million to the New York State Department of Financial Services


Appellate court rules plaintiff cannot challenge SEC forum choice in federal court at this time
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

A federal appellate court in Illinois ruled that Laurie Bebo, who is currently awaiting an initial decision from an administrative law judge in


Flash Boys-inspired litigation dismissed by federal judge
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

A federal court in New York City dismissed five lawsuits against multiple stock exchanges, Barclays PLC and Barclays Capital Inc., all echoing claims


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 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


US Supreme Court Declines to Consider SEC Administrative Forum Selection
  • Katten Muchin Rosenman LLP
  • USA
  • April 3 2016

The US Supreme Court refused to hear a lawsuit brought by Laurie Bebo, challenging the legality of a decision of the Securities and Exchange


Alleged criminal conduct snares multiple ex-financial services and regulator defendants in New York
  • Katten Muchin Rosenman LLP
  • USA
  • November 8 2015

Four criminal actions against individuals involved in the financial services industry were resolved in New York last week through, in one case, a


Establishing common issues of loss causation not required to certify class
  • Katten Muchin Rosenman LLP
  • USA
  • January 4 2008

Granting plaintiffs’ motion for class certification in a securities fraud action, a federal district court held, among other things, that for purposes of their motion plaintiffs did not have to demonstrate common issues of loss causation


Federal court dismissed securities fraud claims
  • Katten Muchin Rosenman LLP
  • USA
  • January 4 2008

Dismissing plaintiff corporation’s securities fraud action, a district court held, among other things, that plaintiff failed to plead scienter with the particularity required by the Private Securities Litigation Reform Act (PSLRA


Steven A. Cohen Barred by SEC From Serving as Hedge Fund Supervisor for Two Years for Alleged Supervisory Failures; No Fine Assessed
  • Katten Muchin Rosenman LLP
  • USA
  • January 10 2016

Steven A. Cohen, founder and owner of hedge fund advisers that used his own initials, S.A.C., settled an administrative complaint brought in 2013 by