We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 566

Proprietary trading firm agrees to pay more than US $8 million to SEC to resolve market access charges emanating from faulty software
  • Katten Muchin Rosenman LLP
  • USA
  • October 4 2015

Latour Trading LLC, a Securities and Exchange Commission-registered broker-dealer and proprietary trading firm, agreed to pay more than US $8 million


Supreme Court Rules Sharing of Nonpublic Information With Relative Is Sufficient to Find Illegal Insider Trading in TipperTippee Context
  • Katten Muchin Rosenman LLP
  • USA
  • December 11 2016

The United States Supreme Court upheld the conviction of Bassam Salman, who traded profitably on nonpublic information received from a friend, Mounir


Massachusetts federal jury convicts amateur golfer for insider trading
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2015

A federal jury in the District of Massachusetts recently convicted Eric McPhail of securities fraud one of the first criminal insider trading


European Commission Adopts Delegated Regulation To Require Mandatory Clearing of Certain Credit Default Swaps
  • Katten Muchin Rosenman LLP
  • European Union
  • March 4 2016

On March 1, the European Commission (EC) adopted new rules in the form of a delegated regulation (Delegated Regulation) to impose clearing


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


California brokers plead guilty to insider trading of Ardea Biosciences, Inc. stock
  • Katten Muchin Rosenman LLP
  • USA
  • June 19 2015

On June 9, Chad Wiegand and Akis Eracleous, two San-Diego based brokers, pled guilty in California district court to trading in Ardea Biosciences


SEC sanctions thirty-six underwriting firms more than US $9 million for misleading offering statements
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

Thirty-six municipal underwriting firms settled enforcement actions brought by the Securities and Exchange Commission related to their use of


Massachusetts federal court denies motion to dismiss insider trading indictment
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2015

The US District Court of Massachusetts in U.S. v. McPhail, et. al., Case No. 1:14-cr-10201, 2015 WL 2226249 (D. Mass. May 12, 2015), denied the


Fourth Circuit sustains securities fraud claim against drug manufacturer
  • Katten Muchin Rosenman LLP
  • USA
  • March 27 2015

On March 6, the US Court of Appeals for the Fourth Circuit found that the United States District Court for the Western District of North Carolina had


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