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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


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


FINRA files enforcement action against broker-dealer, chief compliance officer and Others for unregistered sales of securities and failure to supervise
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

The Financial Industry Regulatory Authority filed an administrative complaint against Scottsdale Capital Advisors Corporation, a registered


New meaning for old words: when golf references are allegedly codes for insider trading, and deflategate is allegedly only about weight loss
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

The Securities and Exchange Commission filed civil insider-trading charges against Sean Stewart and his father, Robert Stewart, in a federal court in


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


District court denies motion to dismiss securities class action against Urban Outfitters
  • Katten Muchin Rosenman LLP
  • USA
  • May 8 2015

The US District Court for the Eastern District of Pennsylvania recently denied a motion to dismiss filed by Urban Outfitters, Inc. and its senior


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


SDNY denies motion to dismiss SEC insider trading complaint despite Newman holding
  • Katten Muchin Rosenman LLP
  • USA
  • April 17 2015

The US District Court for the Southern District of New York recently denied two defendants’ motion to dismiss a Securities and Exchange Commission


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


Second Circuit refuses to rehear groundbreaking insider trading case
  • Katten Muchin Rosenman LLP
  • USA
  • April 10 2015

On April 3, the US Court of Appeals for the Second Circuit denied the request of Preet Bharara, US Attorney for the Southern District of New York