We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 648

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


Non-parties enjoined from filing bankruptcy petitions against entities in receivership
  • Katten Muchin Rosenman LLP
  • USA
  • January 9 2009

The Securities and Exchange Commission brought an action against several individuals and related investment entities (the Wextrust Entities) who allegedly participated in a Ponzi scheme that purportedly defrauded over 1,000 investors of approximately $255 million


Shareholder claims of federal securities fraud survive CEO’s motion to dismiss
  • Katten Muchin Rosenman LLP
  • USA
  • March 5 2010

Plaintiff shareholders of NutraCea, a public corporation that produces stabilized rice bran to sell as a nutritional supplement, sued CEO Bradley Edson and CFO Todd Crow for violations of Section 10(b) of the Securities Exchange Act of 1934, and Securities and Exchange Commission Rule 10b-5 promulgated thereunder, control person liability under Section 20(a) of the Exchange Act, and violations of the Arizona Securities Act


Former LLC's senior trader can pursue federal securities claim
  • Katten Muchin Rosenman LLP
  • USA
  • July 16 2010

A former senior employee and member of a limited liability company can pursue his securities fraud claim against the firm and its managing member because his passive investment in the company supported a claim under Section 10(b) of the Securities Exchange Act of 1934


Flash Boys-inspired litigation dismissed by federal judge
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

A federal court in New York City dismissed five lawsuits against multiple stock exchanges, Barclays PLC and Barclays Capital Inc., all echoing claims


ISDAfix Class Action Authorized to Proceed by Federal Court
  • Katten Muchin Rosenman LLP
  • USA
  • April 3 2016

A US federal court in New York City declined to grant a request by 14 banks and ICAP Capital Markets LLC to dismiss a putative class action lawsuit


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


SEC-sanctioned trader began alleged spoofing after complaining about spoofing by others to NYSE
  • Katten Muchin Rosenman LLP
  • USA
  • October 11 2015

Eric Oscher and Briargate Trading, LLC, a company 50 percent owned by Mr. Oscher, agreed to pay an aggregate fine of US $500,000 and disgorge profits


CFTC Fines One Firm for Purported Speculative Limits Violations and an Affiliated Entity for Allegedly Misleading Agency
  • Katten Muchin Rosenman LLP
  • USA
  • March 27 2016

The Commodity Futures Trading Commission filed and settled charges against Credit Suisse International for allegedly violating an augmented


“Deliberate recklessness” standard should have been applied in scienter analysis
  • Katten Muchin Rosenman LLP
  • USA
  • February 8 2008

In a Securities and Exchange Commission enforcement action, a federal district court granted defendants’ motions for reconsideration of the entry of summary judgment against them on claims asserted under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5