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optionsXpress sanctioned by FINRA for not adjusting open share orders to reflect dividends
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2015

optionsXpress, Inc. - a subsidiary of The Charles Schwab Corporation - agreed to pay a fine of US $165,000 to the Financial Industry Regulatory


FinCEN updates list of jurisdictions with material AMLCFT deficiencies
  • Katten Muchin Rosenman LLP
  • Global
  • July 26 2015

The Financial Action Task Force identified jurisdictions with anti-money laundering and counter-terrorist financing deficiencies: Afghanistan, Angola


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


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


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


SEC settles with stock promoters in medical marijuana stock manipulation scheme
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2015

On July 9, the Securities and Exchange Commission settled with two stock promoters accused of reaping $2.5 million in illicit profits by manipulating


FCA publishes criteria used for formal enforcement investigations
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • July 12 2015

The UK Financial Conduct Authority provided insight on when it decides to investigate possible wrongdoing in a published document entitled


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 sanctions thirty-six underwriting firms more than US $9 million for misleading offering statements
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

Thirty-six municipal underwriting firms settled enforcement actions brought by the Securities and Exchange Commission related to their use of


California brokers plead guilty to insider trading of Ardea Biosciences, Inc. stock
  • Katten Muchin Rosenman LLP
  • USA
  • June 19 2015

On June 9, Chad Wiegand and Akis Eracleous, two San-Diego based brokers, pled guilty in California district court to trading in Ardea Biosciences