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Results: 1-10 of 524

Second Circuit clarifies a heightened standard for insider trading convictions
  • Katten Muchin Rosenman LLP
  • USA
  • December 12 2014

The US Court of Appeals for the Second Circuit recently held that, in order to convict a tippee for insider trading under Section 10(b) of the


Appeals court sets aside insider trading convictions saying traders distance from corporate insiders too far
  • Katten Muchin Rosenman LLP
  • USA
  • December 14 2014

The convictions of two individualsTodd Newman and Anthony Chiassonfor insider trading under United States Securities law was set aside by a federal


Bharara appeals Second Circuit’s decision vacating insider trading convictions
  • Katten Muchin Rosenman LLP
  • USA
  • January 30 2015

Preet Bharara, United States Attorney for the Southern District of New York, has petitioned the United States Court of Appeals for the Second Circuit


Study finds whistleblowers increase penalties of regulatory enforcement actions
  • Katten Muchin Rosenman LLP
  • USA
  • March 13 2015

A recent academic paper found that whistleblower involvement in financial misrepresentation enforcement actions tends to increase (1) penalties


SEC charges company executives with issuing false press releases to inflate stock price
  • Katten Muchin Rosenman LLP
  • USA
  • December 5 2014

The Securities and Exchange Commission recently charged two executives at a penny stock company with issuing false and misleading press releases


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


SEC sues former principals of sanctioned broker-dealer for causing firm not to pay agreed-upon fine
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2014

Through an action in a federal court in New Jersey, the Securities and Exchange Commission sought to recover a previously agreed-upon fine against


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


Securities class action dismissed where information was publicly available
  • Katten Muchin Rosenman LLP
  • USA
  • October 31 2014

The US District Court for the Western District of Washington recently dismissed a securities fraud class action against Zillow, Inc. and named


Goldman Sachs receives SEC approval for new approach to satisfy certain Reg SHO obligations
  • Katten Muchin Rosenman LLP
  • USA
  • November 2 2014

Goldman Sachs Execution & Clearing, LP requested and obtained relief from the Securities and Exchange Commission related to certain of its close-out