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Results: 1-10 of 613

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


Alleged Spoofer, Blamed for Partly Causing Flash Crash, Loses UK Extradition Hearing
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • March 27 2016

Navinder Sarao, the London-based futures trader who in April 2015 was sued by the Commodity Futures Trading Commission and criminally charged with


Disgorgement and fines ordered in two CME Group disciplinary actions alleging position limit violations
  • Katten Muchin Rosenman LLP
  • USA
  • August 16 2015

The CME Group settled two disciplinary actions for position limit violations by ordering payment of a fine and disgorgement. In one action, against


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


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


Court denies motion to dismiss for failure to plead fraud with adequate particularity
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2009

Plaintiffs alleged, among other things, that defendants violated the Securities and Exchange Act of 1934 by engaging in a scheme to defraud investors through the sale of unregistered securities and by making misrepresentations to induce plaintiffs to invest in defendant corporation


Comment Period Extended for CFTC Draft Technical Specifications for Certain Swap Data Elements
  • Katten Muchin Rosenman LLP
  • USA
  • February 21 2016

The Commodity Futures Trading Commission has extended until March 7, 2016, the comment period for its draft technical specifications for certain swap


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


SEC secures victory on fraud allegations against technology executive
  • Katten Muchin Rosenman LLP
  • USA
  • April 10 2015

The US District Court for the District of Columbia took the unusual step of granting summary judgment against a technology company executive who the


Barbara Duka obtains preliminary injunction against SEC prosecuting her in an administrative tribunal
  • Katten Muchin Rosenman LLP
  • USA
  • August 16 2015

The US federal judge in New York who two weeks ago reserved judgment regarding Barbara Duka's efforts to enjoin the Securities and Exchange