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Results: 1-10 of 567

US Court of Appeals for the District of Columbia Circuit upholds decision on conflict minerals rule
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2015

On August 18, the US Court of Appeals for the District of Columbia Circuit issued its opinion on the rehearing of the lawsuit challenging the


Australian regulator to consider recovering investigation expenses against respondents
  • Katten Muchin Rosenman LLP
  • Australia
  • August 2 2015

The Australian Securities and Investments Commission announced the factors it will consider in assessing the costs of an investigation against any


UK High Court penalizes traders GBP 7.5 million for layering
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • August 16 2015

The UK High Court imposed a permanent injunction and penalties of over GBP 7.5 million (approximately US $11.8 million) against five defendants for


Claiming tipper received no benefit, defendant invokes Newman in seeking to dismiss insider trading allegations
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2015

A defendant in an insider trading case who allegedly profited from his inside knowledge recently filed a motion to dismiss in the US District Court


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


Barbara Duka obtains preliminary injunction against SEC prosecuting her in an administrative tribunal
  • Katten Muchin Rosenman LLP
  • USA
  • August 16 2015

The US federal judge in New York who two weeks ago reserved judgment regarding Barbara Duka's efforts to enjoin the Securities and Exchange


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


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


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


Fourth Circuit sustains securities fraud claim against drug manufacturer
  • Katten Muchin Rosenman LLP
  • USA
  • March 27 2015

On March 6, the US Court of Appeals for the Fourth Circuit found that the United States District Court for the Western District of North Carolina had