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SEC brings lawsuit against former Carter’s executive for insider trading and tipping
  • Katten Muchin Rosenman LLP
  • USA
  • March 14 2014

On March 7, the Securities and Exchange Commission filed a complaint in the US District Court for the Northern District of Georgia against Richard


Supreme Court ruling lowers class action hurdle for securities fraud cases
  • Katten Muchin Rosenman LLP
  • USA
  • March 1 2013

On February 27, the Supreme Court upheld a lower court's determination that proof of materiality is not required before certifying a securities fraud


SEC obtains settlement for investment adviser’s real estate investment fraud
  • Katten Muchin Rosenman LLP
  • USA
  • June 20 2014

The Securities and Exchange Commission recently announced a settlement with an investment adviser based on alleged fraud in a real estate investment


Massachusetts District Court affirms scienter requirement of false statement crime
  • Katten Muchin Rosenman LLP
  • USA
  • May 24 2013

The District Court for the District of Massachusetts recently held that in order to obtain a conviction for making a false statement to a government


SEC charges executive with insider trading ahead of client announcements
  • Katten Muchin Rosenman LLP
  • USA
  • August 29 2014

The Securities and Exchange Commission recently filed a complaint in the US District Court for the Southern District of New York against a director


Federal District Court Approves Flash Crash Spoofer’s US $38 Million Settlement; Federal Appeals Court Appears Sympathetic to Michael Coscia’s Claim That Spoofing Prohibition Is Too Vague
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

The US federal court handling the civil case brought by the Commodity Futures Trading Commission against Navinder Sarao for alleged spoofing


CFTC sues lawyer in federal court for aiding and abetting clients’ legal violations
  • Katten Muchin Rosenman LLP
  • USA
  • September 14 2014

Jay Grossman, a Florida-based attorney, was sued by the Commodity Futures Trading Commission in a federal court in Florida for allegedly aiding and


Government seeks extended prison term in securities fraud case
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2015

In a sentencing memorandum filed January 2, the United States Attorney’s Office in Washington asked the US District Court for the Western District of


Canadian citizen charged by SEC with unlawful layering involving traders in China and Korea
  • Katten Muchin Rosenman LLP
  • USA
  • January 18 2015

The Securities and Exchange Commission filed a civil action in the US federal court in New Jersey against Aleksandr Milrud, claiming that he engaged


Former Newbie Bank Trader Pleads Guilty to Criminal Charges and Settles CFTC Civil Charges for No Fine for Spoofing, Attempted Manipulation and Manipulation of Gold and Silver Futures
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

David Liew, a former junior trader that many media sources have indicated was based in Singapore and associated with Deutsche Bank, pleaded guilty in