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Results: 1-10 of 648

Tenth Circuit Holds SEC Administrative Tribunals Unconstitutional
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

A Federal Court of Appeals sitting in Denver, Colorado (the Tenth Circuit Court of Appeals), ruled that a Securities and Exchange Commission


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


Guilty verdict obtained in first FSA criminal insider dealing case
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • March 27 2009

On March 27, a lawyer and his father-in-law were found guilty of insider dealing in the first insider dealing criminal prosecution brought by the Financial Services Authority (FSA


SEC sues promoters of investments in Bitcoin mining power for offering and selling a Ponzi scheme
  • Katten Muchin Rosenman LLP
  • USA
  • December 6 2015

The Securities and Exchange Commission filed a lawsuit in a US federal court in Connecticut claiming that Homero Garza's, GAW Miners, LLC's and


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


Third tier civil penalty imposed for violations of securities laws
  • Katten Muchin Rosenman LLP
  • USA
  • July 31 2009

The U.S. District Court for the District of Minnesota imposed a third tier civil penalty against defendants Sherwin Brown and Jamerica Financial, Inc., who were found to have violated Section 17(a) of the Securities Act of 1933, Section 10(b)(5) of the Securities Exchange Act of 1934, and the Investment Advisors Act of 1940


SDNY grants SEC’s final summary judgment claim in securities and investment advisor fraud case
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2014

The US District Court for the Southern District of New York granted the Securities and Exchange Commission summary judgment on its one outstanding


Ex-Airline Employee Sued by CFTC for Insider Trading of Futures Based on Misappropriated Information
  • Katten Muchin Rosenman LLP
  • USA
  • October 2 2016

The Commodity Futures Trading Commission brought and settled charges against Jon Ruggles, a former trader for Delta Airlines, for trading accounts in


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


No rescission of investment contract absent finding of fraud
  • Katten Muchin Rosenman LLP
  • USA
  • June 5 2009

Plaintiffs sued an individual defendant in whose company they had invested, alleging violations of the Securities Exchange Act of 1934, breach of the investment contract, and common law fraud based upon defendant’s failure to disclose ongoing litigation at the time plaintiffs purchased their stock from the defendant for $1,050,000