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Independent IB Agrees to Withdraw From Registration Following NFA Complaint That It Failed to Cooperate and Meet Minimum Financial Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • January 31 2016

CC Trading Company LLC agreed never to apply for membership in the National Futures Association or act as a principal for an NFA member in order to


Investment advisor certified as lead plaintiff in securities class action
  • Katten Muchin Rosenman LLP
  • USA
  • October 16 2009

Lead Plaintiff Galleon Management LP (Galleon) is an investment advisor for two funds that claimed pecuniary loss from their purchase of Herley Industries, Inc. (Herley) securities at a fraudulently inflated price


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


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


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 brings lawsuit against former Carter’s executive for insider trading and tipping
  • Katten Muchin Rosenman LLP
  • USA
  • March 14 2014

On March 7, the Securities and Exchange Commission filed a complaint in the US District Court for the Northern District of Georgia against Richard


Securities fraud claims dismissed because defendant had no duty to disclose
  • Katten Muchin Rosenman LLP
  • USA
  • August 3 2007

The seller of a convertible note sued the issuer-purchaser under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, claiming that the issuer committed fraud by repurchasing the note at a negotiated discount price without revealing its plan to raise funds through a new private placement to fund the redemption of all outstanding convertible notes at a premium price


Arbitration clause in one agreement governed dispute under related agreement
  • Katten Muchin Rosenman LLP
  • USA
  • March 7 2008

Plaintiff sued defendants for, among other things, securities fraud in connection with its purchase of an unregistered security in one of the defendant limited liability companies (LLC


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