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Second Circuit bars criminal defendant from accessing assets frozen by regulators

USA - April 12 2013 The US Court of Appeals for the Second Circuit recently upheld a district court's refusal to release nearly $4 million in assets frozen by the...

Michael M. Rosensaft.


Court finds Section 15(a) of the Exchange Act only applicable in domestic transactions

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...

Michael M. Rosensaft.


Fourth Circuit affirms finding of no Fifth Amendment violation in connection with 45-year conviction for $100 million investment scheme

USA - February 1 2013 The US Court of Appeals for the Fourth Circuit recently affirmed a defendant's conviction and 45-year sentence, holding that the defendant's Fifth...

Michael S. Gordon.


District Court finds that Securities Exchange Act covers stock “float” manipulation

USA - February 1 2013 In a self-described "precedent-setting" order, the US District Court for the Eastern District of Pennsylvania recently found that the Securities...

Michael S. Gordon.


Former hedge fund founder ordered to pay $5 million for securities law violations

USA - December 7 2012 The US District Court for the Southern District of New York recently ordered the investment adviser to two hedge funds, and its managing director, to pay nearly $5 million in disgorgement, prejudgment interest and civil penalties for violations of the federal securities laws....

Michael S. Gordon.