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Results: 1-10 of 564

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 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 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 can’t retroactively apply Dodd-Frank sanctions says US Court of Appeals
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2015

The federal court of appeals for the District of Columbia ruled that the Securities and Exchange Commission impermissibly applied sanctions available


SEC urges Third Circuit to adopts its interpretation of whistleblower retaliation protections
  • Katten Muchin Rosenman LLP
  • USA
  • December 19 2014

Last week, the Securities and Exchange Commission submitted an amicus brief in support of an appellant before the US Court of Appeals for the Third


Retired senior trader jailed for insider dealing
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • March 12 2010

On March 11, Malcolm Calvert was sentenced to 21 months in prison, having been found guilty on five counts of insider dealing the previous day


Court holds late fee provision is not liquidated damages provision
  • Katten Muchin Rosenman LLP
  • USA
  • October 23 2009

The United States District Court for the District of Delaware denied defendant issuer’s motion to dismiss plaintiff’s claims for actual damages resulting from the defendant’s failure to file a registration statement within the time period required by the parties’ agreement


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 charges Chilean citizens with insider trading concerning tender offer for Chilean
  • Katten Muchin Rosenman LLP
  • USA
  • January 9 2015

The Securities and Exchange Commission recently filed suit in the US District Court for the Southern District of New York, alleging that defendants


SDNY strikes a blow against selective waivers
  • Katten Muchin Rosenman LLP
  • USA
  • January 14 2014

On November 20, 2013, US District Judge Paul G. Gardephe of the US District Court for the Southern District of New York issued a decision with