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Investment advisor compliance officer charged by SEC for altering document related to insider trading probe
  • Katten Muchin Rosenman LLP
  • USA
  • October 19 2014

The Securities and Exchange Commission has commenced an administrative action against Judy Wolf, a former compliance consultant to Wells Fargo


SEC brings fraud charges against oil and gas company and its CEO
  • Katten Muchin Rosenman LLP
  • USA
  • August 8 2014

On August 4, the Securities and Exchange Commission instituted cease-and-desist proceedings against Houston American Energy Corp., an oil and gas


FSA fines willis limited £6.895 million for anti-bribery and corruption systems and controls failings
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • July 22 2011

The UK Financial Services Authority announced on July 21 that it had fined Willis Limited £6.895 million (approximately $11.2 million) for failings in its anti-bribery and corruption systems and controls


US Court of Appeals for the Eleventh Circuit upholds fraud penalties for ex-GobeTel executives
  • Katten Muchin Rosenman LLP
  • USA
  • March 7 2014

The US Court of Appeals for the Eleventh Circuit recently upheld a summary judgment decision granted in favor of the US Securities and Exchange


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 violations of registration rules and “layering”
  • Katten Muchin Rosenman LLP
  • USA
  • April 11 2014

The Securities and Exchange Commission recently announced a settlement with two brokerage firms and certain of their executives for improper


Florida federal court orders $137 million forfeiture for investment fraud and money laundering scheme
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2013

The US District Court for the Middle District of Florida recently ordered one participant in a sophisticated investment fraud and money laundering


FINRA Announces Review of Cross-Selling by Broker-Dealers of Affiliated Bank and Other Products; SEC Announces Review of IAs and BDs Compliance With Whistle-Blower Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • October 30 2016

The Financial Industry Regulatory Authority announced that it was conducting an industry-wide inquiry to review cross-selling programs at


Fourth Circuit declines to extend Janus to criminal cases
  • Katten Muchin Rosenman LLP
  • USA
  • May 16 2014

A three-judge panel of the US Court of Appeals for the Fourth Circuit recently affirmed the dismissal of a lawyer's habeas petition, finding that


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