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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


This week in securities litigation (week ending March 30, 2013)
  • Dorsey & Whitney LLP
  • USA
  • March 31 2013

Insider trading continues to be the focus as the first quarter of the year came to a close. The SEC and the Manhattan U.S. Attorney's Office brought


Hedge fund investors suffer huge losses according to SEC
  • Dorsey & Whitney LLP
  • USA
  • March 6 2013

The Commission brought another fraud action centered on losses suffered by investors in two private hedge funds, the RAHFCO Funds L.P. and the RAHFCO


This week in securities litigation (week ending March 1, 2013)
  • Dorsey & Whitney LLP
  • USA
  • March 1 2013

The Supreme Court handed down two significant securities law decisions this week. In the first the High Court, in unanimous opinion, rejected the


Hedge fund adviser charged with fraud for secretly restructuring to favor select investors
  • Dorsey & Whitney LLP
  • USA
  • February 26 2013

A hedge fund manager and its principals were charged with fraud for secretly altering the structure of the funds for the benefit of select investors


The impact of the new Commission cooperation initiatives Part II
  • Dorsey & Whitney LLP
  • USA
  • November 5 2012

The SEC’s new cooperation tools have impacted a number of actions.