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Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Michael Coscia, the first person prosecuted and convicted under a law prohibiting spoofing that was enacted after the 2007-2008 financial crisis, was


CFTC Tells Court That Meaning of Spoofing Is Clear in Case Against Trader
  • Katten Muchin Rosenman LLP
  • USA
  • June 20 2016

The Commodity Futures Trading Commission filed papers in its lawsuit against a proprietary trading firm and its principal, claiming that the federal


Investment Advisers Act has a onethree-year statute of limitations
  • Katten Muchin Rosenman LLP
  • USA
  • February 13 2009

The U.S. District Court for the Eastern District of Texas adopted the magistrate judge’s findings and recommended disposition and granted summary judgment in favor of the defendants


Corrective disclosure must provide new facts or fraud-revealing analysis
  • Katten Muchin Rosenman LLP
  • USA
  • August 22 2008

After a jury found that the defendant committed securities fraud under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, a district court granted the defendant’s motion for judgment as a matter of law


Ninth Circuit holds assertion of counterclaim does not waive improper venue defense
  • Katten Muchin Rosenman LLP
  • USA
  • December 3 2010

Investors filed a complaint in the U.S. District Court for the District of Arizona against the former president and CEO of a corporation that no longer had any assets, his wife, and the company’s former securities counsel


What Does Brexit Mean for UK Tax?
  • Katten Muchin Rosenman LLP
  • European Union, OECD, United Kingdom
  • July 14 2016

Once the formal procedure under Article 50 of the Lisbon Treaty is initiated by the United Kingdom, the government will negotiate the terms of its


Court addresses appropriate procedure for lead plaintiff appointment
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2011

The United States District Court for the Eastern District of New York recently addressed the question of how to designate a lead plaintiff in a class action brought under the Private Securities Litigation Reform Act (PSLRA) where the original named plaintiff withdraws


In rare instance, court grants plaintiff’s summary judgment motion on fraud claim
  • Katten Muchin Rosenman LLP
  • USA
  • October 10 2008

A federal district court adopted a U.S. magistrate judge’s recommendation to grant the Securities and Exchange Commission’s motion for summary judgment and to enter an order for a permanent injunction and disgorgement with prejudgment interest against a registered investment adviser as well as its president and 50 owner


Withholding Tax Contrary to EU Law: The Brisal Case
  • Katten Muchin Rosenman LLP
  • European Union, United Kingdom
  • August 1 2016

On 13 July, the Court of Justice of the European Union (CJEU) released its decision in the Brisal case (C-1815). The Brisal case has potentially far


Court chastises SEC for causing unwarranted collapse of foreign bank
  • Katten Muchin Rosenman LLP
  • USA
  • November 15 2015

A federal judge in New York severely criticized the Securities and Exchange Commission over its handling of a lawsuit against Caledonian Bank Ltd