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Results: 1-10 of 533

Southern District of New York limits Dodd-Frank whistleblower protections to the United States
  • Katten Muchin Rosenman LLP
  • USA
  • October 25 2013

The US District Court for the Southern District of New York limited the scope of the Dodd-Frank Wall Street Reform and Consumer Protection Act


Swiss national and former energy executive criminally charged under FCPA
  • Katten Muchin Rosenman LLP
  • USA
  • October 25 2013

In an illustration of the extraterritorial reach of the Foreign Corrupt Practices Act (FCPA), Alain Riedo, a Swiss citizen and the general manager of


SEC obtains $585 million judgment against MRI International for Ponzi scheme
  • Katten Muchin Rosenman LLP
  • USA
  • February 6 2015

A Nevada District Court granted the Securities and Exchange Commission’s request for a $585 million judgment against MRI International, Inc. and its


Second Circuit holds interpositioning does not constitute securities fraud
  • Katten Muchin Rosenman LLP
  • USA
  • July 25 2008

The defendant, David Finnerty, was charged with three counts of securities fraud under Section 10(b) and Section 32 of the Securities Exchange Act


Circuit court affirms dismissal and denial of leave to replead securities fraud claim
  • Katten Muchin Rosenman LLP
  • USA
  • June 6 2008

The Eighth Circuit Court of Appeals affirmed a district court order dismissing with prejudice a putative shareholder class action asserting claims under Sections 10(b) and 20(a) of the Securities Exchange Act and Rule 10b-5


FSA launches action to close down illegal landbanking scheme
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • June 6 2008

On June 4, the UK Financial Services Authority (FSA) announced that it has applied to the UK High Court for an order to wind up the UK’s largest “landbanking” company, UKLI Limited (UKLI), for operating as an illegal collective investment scheme, i.e. a fund, and denying its investors protection for their money


FSA arrests two in boiler room criminal investigation
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 9 2007

On November 2, the Financial Services Authority announced the arrest of two men on October 31 in connection with an ongoing FSA investigation into overseas boiler room activities


Issue of fact regarding scienter prevented grant of summary judgment to defendants
  • Katten Muchin Rosenman LLP
  • USA
  • September 7 2007

The District Court denied in part a motion for summary judgment in which defendants (a public company and individual officers and directors) in a class action lawsuit challenged the plaintiffs’ ability to demonstrate that defendants acted with the requisite scienter to support its claims under Section 10(b) of the Securities Exchange Act of 1934


SEC focuses on “free lunch” seminars
  • Katten Muchin Rosenman LLP
  • USA
  • September 14 2007

On September 10, the Securities and Exchange Commission released a joint report summarizing the results of regulatory examinations of “free lunch” investment seminars for senior citizens


Securities fraud claim dismissed
  • Katten Muchin Rosenman LLP
  • USA
  • May 2 2008

A United States District Court entered judgment in favor of a company’s chairman and CEO and dismissed a shareholder’s claims under Section 10(b) of the Securities Exchange Act and Rule 10b-5