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Results: 1-10 of 530

Software company to face suit over contract restructuring
  • Katten Muchin Rosenman LLP
  • USA
  • March 27 2015

The United States District Court for the Northern District of California sustained a securities fraud complaint alleging that the defendants, a


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


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


The CSMAD: forthcoming changes to EU market abuse and insider dealing rules
  • Katten Muchin Rosenman LLP
  • European Union
  • May 21 2015

The European Union’s Market Abuse Regulation1 (MAR) will replace the European Union’s Market Abuse Directive2 (MAD) on July 3, 2016. In much of the


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


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


SEC grants maximum whistleblower award for first retaliation action
  • Katten Muchin Rosenman LLP
  • USA
  • May 3 2015

The Securities and Exchange Commission will award over US $600,000 to a whistleblower who was retaliated against after he provided information to the


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


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


Claiming tipper received no benefit, defendant invokes Newman in seeking to dismiss insider trading allegations
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2015

A defendant in an insider trading case who allegedly profited from his inside knowledge recently filed a motion to dismiss in the US District Court