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Results: 1-10 of 558

California brokers plead guilty to insider trading of Ardea Biosciences, Inc. stock
  • Katten Muchin Rosenman LLP
  • USA
  • June 19 2015

On June 9, Chad Wiegand and Akis Eracleous, two San-Diego based brokers, pled guilty in California district court to trading in Ardea Biosciences


Massachusetts federal jury convicts amateur golfer for insider trading
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2015

A federal jury in the District of Massachusetts recently convicted Eric McPhail of securities fraud one of the first criminal insider trading


Manager’s investment in LLC not an investment contract
  • Katten Muchin Rosenman LLP
  • USA
  • August 13 2010

The managing partner of a mining venture cannot pursue federal securities claims against his estranged partners because he exerted substantial control over the enterprise


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


District court denies motion to dismiss securities class action against Urban Outfitters
  • Katten Muchin Rosenman LLP
  • USA
  • May 8 2015

The US District Court for the Eastern District of Pennsylvania recently denied a motion to dismiss filed by Urban Outfitters, Inc. and its senior


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 finds Section 15(a) of the Exchange Act only applicable in domestic transactions
  • Katten Muchin Rosenman LLP
  • USA
  • April 12 2013

The US District Court for the Northern District of Illinois recently granted defendants' motion to dismiss one count of a Securities and Exchange


Georgia federal court holds SEC administrative proceeding unconstitutional
  • Katten Muchin Rosenman LLP
  • USA
  • June 14 2015

A US federal court in Atlanta ruled that an administrative enforcement proceeding by the Securities and Exchange Commission against Charles Hill is


Section 16(b) decision provides important guidance
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2015

A recent opinion by the US District Court for the Southern District of New York denying a motion to dismiss “short-swing” profit claims under Section


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