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Results: 1-10 of 643

CFTC Tells Court That Meaning of Spoofing Is Clear in Case Against Trader
  • Katten Muchin Rosenman LLP
  • USA
  • June 20 2016

The Commodity Futures Trading Commission filed papers in its lawsuit against a proprietary trading firm and its principal, claiming that the federal


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


Court addresses appropriate procedure for lead plaintiff appointment
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2011

The United States District Court for the Eastern District of New York recently addressed the question of how to designate a lead plaintiff in a class action brought under the Private Securities Litigation Reform Act (PSLRA) where the original named plaintiff withdraws


Withholding Tax Contrary to EU Law: The Brisal Case
  • Katten Muchin Rosenman LLP
  • European Union, United Kingdom
  • August 1 2016

On 13 July, the Court of Justice of the European Union (CJEU) released its decision in the Brisal case (C-1815). The Brisal case has potentially far


Heightened pleading requirement applies to Section 14(a) claims
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2007

Finding that the heightened pleading requirements of the Private Securities Litigation Reform Act (PSLRA) applied to claims under Section 14(a) of the Securities Exchange Act of 1934, an Illinois District Court dismissed plaintiff’s complaint


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


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


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 grants SEC’s request for permanent injunction, disgorgement and civil penalty
  • Katten Muchin Rosenman LLP
  • USA
  • January 30 2009

In 2006, the Securities and Exchange Commission brought a civil action against the defendant, alleging a conspiracy to fraudulently manipulate the prices of 24 stocks


Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Michael Coscia, the first person prosecuted and convicted under a law prohibiting spoofing that was enacted after the 2007-2008 financial crisis, was