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Results: 1-10 of 70

This week in securities litigation (week ending May 9, 2014)
  • Dorsey & Whitney LLP
  • USA, Hong Kong
  • May 8 2014

The Commission issued an order which stayed the small segment of its controversial conflict mineral rule which the Court of Appeals concluded


This week in securities litigation (week ending April 11, 2014)
  • Dorsey & Whitney LLP
  • USA, Hong Kong
  • April 10 2014

Former hedge fund giant SAC Capital was sentenced this week. This concluded one of the most prominent insider trading cases. Under the terms of the


SEC, would-be hedge fund mogul settle bogus takeover offer case
  • Dorsey & Whitney LLP
  • USA
  • March 16 2014

A would-be hedge fund mogul's plan to acquire a NYSE company with little more than a wish and a shell company ended with an SEC consent fraud


SEC prevails following two week jury trial
  • Dorsey & Whitney LLP
  • USA
  • February 11 2014

The SEC prevailed in a jury trial against hedge fund manager Marlon Quan and his entities in a case tied to the massive Petters Ponzi scheme. Mr


SEC files another case tied to Carter’s Inc.
  • Dorsey & Whitney LLP
  • USA
  • October 30 2013

The Commission filed its fifth case, and second insider trading action, related to children's clothing maker Carter's Inc. This time the case was


SEC brings another market crisis CDO case
  • Dorsey & Whitney LLP
  • USA
  • October 20 2013

The market crisis ended but enforcement actions stemming from it have not. Battered financial giant JPMorgan, fresh from its settlement with the CFTC


Adviser charged by SEC in cherry picking scheme
  • Dorsey & Whitney LLP
  • USA
  • September 4 2013

An investment adviser favored select clients at the expense of others and then used the favorable results obtained for the one client group for


The SEC’s new financial fraud task force: Part VII, risk analysis and big data
  • Dorsey & Whitney LLP
  • USA
  • August 20 2013

This is the seventh in a series of articles examining the creation of the Financial Reporting and Audit Task Force along with a Center for Risk and


This week in securities litigation (week ending July 26, 2013)
  • Dorsey & Whitney LLP
  • USA
  • July 25 2013

SAC Capital and Steven Cohen were the focus of securities enforcement litigation this week. Criminal wire and securities fraud charges were brought


Second Circuit rejects Galleon found’s insider trading appeal
  • Dorsey & Whitney LLP
  • USA
  • June 24 2013

Raja Rajaratnam, the founder of the Galleon Group hedge fund lost his appeal on insider trading charges. U.S. v. Rajaratnam, Docket No. 11-4416-cr