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Results: 1-10 of 13,915

Hedge fund manager sanctioned for defrauding investors by hiding Madoff losses and theft
  • Katten Muchin Rosenman LLP
  • USA
  • October 12 2014

A federal judge ordered Nikolai Battoo and two companies he controlled, BC Capital Group S.A. (Panama) and BC Capital Group (Hong Kong) Limited, to


After Newman, Congress seeks to define insider trading
  • Proskauer Rose LLP
  • USA
  • March 16 2015

Ever since the U.S. Court of Appeals for the Second Circuit issued its landmark decision in United States v. Newman, debate has raged about whether


District court dismisses state parties’ challenge to SEC Rule 206(4)-5
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • October 8 2014

On September 30, 2014, Judge Beryl A. Howell of the U.S. District Court for the District of Columbia dismissed a challenge to the Securities and


Fourth Circuit applies four year statute of limitations, approves award of emotional distress damages in SOX claim in federal court
  • Epstein Becker Green
  • USA
  • January 30 2015

On January 26, 2015, in an issue of first impression at the appellate level, the United States Court of Appeals for the Fourth Circuit held that a


SEC again files amicus brief arguing that Dodd-Frank anti-retaliation plaintiffs need not report information to the SEC
  • Foley & Lardner LLP
  • USA
  • January 5 2015

The SEC continues to press its view that a plaintiff need not provide information to the SEC in order to bring a claim under the Dodd-Frank Act's


Recent developments in successor liability under the FCPA and UK Bribery Act
  • Ropes & Gray LLP
  • United Kingdom, USA
  • December 4 2014

On November 7, 2014, the Department of Justice (“DOJ”) issued a Foreign Corrupt Practices Act (“FCPA”) Opinion Procedure Release 14-02 (the “DOJ


Ninth Circuit holds that under Nevada law, a prior stockholder’s litigation of demand futility precludes another stockholder from litigating demand futility in a subsequent derivative action
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • January 5 2015

In Arduini v. Hart, 2014 WL 7156764 (9th Cir. Dec. 17, 2014), the United States Court of Appeals for the Ninth Circuit considered whether the


SEC’s authority to interpret the securities laws comes under fire in criminal enforcement
  • Akin Gump Strauss Hauer & Feld LLP
  • USA
  • November 24 2014

A recent statement by Justice Antonin Scalia accompanying the Supreme Court's denial of certiorari in a criminal insider trading case raises


Administrative proceedings vs. federal court: the SEC provides limited transparency into its choice of forum
  • Morrison & Foerster LLP
  • USA
  • May 11 2015

For the past two years, the SEC has come under heavy fire, both inside and outside the Commission, for its increasing use of its own administrative


Recent insider trading cases in the US and Canada may signal an evidentiary sea change
  • Osler Hoskin & Harcourt LLP
  • Canada, USA
  • January 29 2015

As we noted previously on this blog, prosecutors in Canada and the United States have recently faced evidentiary challenges in prosecuting insider