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Results: 1-10 of 114

This week in securities litigation (week ending August 28, 2014)
  • Dorsey & Whitney LLP
  • USA
  • August 28 2014

In the roll-up to the Labor Day weekend, the SEC issued new rules regarding asset backed securities and credit rating agencies. The Commission also


This week in securities litigation (week ending June 6, 2014)
  • Dorsey & Whitney LLP
  • USA, United Kingdom, Hong Kong
  • June 5 2014

The SEC had mixed results in court this week. A Manhattan jury returned a verdict against the agency in a high profile and long-running insider


This week in securities litigation (week ending may 16, 2014)
  • Dorsey & Whitney LLP
  • USA, Australia, Hong Kong
  • May 15 2014

The Commission got split decisions in court this week. It prevailed in one high profile trial, obtaining a jury verdict in its favor. It lost a


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 25, 2014)
  • Dorsey & Whitney LLP
  • USA, Australia, Hong Kong
  • April 24 2014

Insider trading and fraudulent investment schemes were the focus of SEC Enforcement this week. The Commission filed insider trading actions tied to


An SEC investigation can be a bad day, but it can get worse
  • Dorsey & Whitney LLP
  • USA
  • December 8 2013

Becoming involved with an SEC investigation is a bad day for any company and its executives. There are things that can be done to make it better


This week in securities litigation (week ending November 15, 2013)
  • Dorsey & Whitney LLP
  • USA
  • November 14 2013

The SEC entered into its first deferred prosecution agreement with an individual this week. The agreement is with a former accountant at a hedge fund


This week in securities litigation (week ending September 27, 2013)
  • Dorsey & Whitney LLP
  • USA
  • September 26 2013

The SEC has a busy week as the government, filing nineteen enforcement actions. Three of those cases were financial fraud actions, perhaps suggesting


The SEC’s new financial fraud task force: Part V, significant cases following the speech using multiple improper techniques
  • Dorsey & Whitney LLP
  • USA
  • August 19 2013

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


Two investment frauds centered on pre-IPO shares of Facebook
  • Dorsey & Whitney LLP
  • USA
  • June 25 2013

Fraudulent investment funds purporting to give the public an opportunity to acquire pre-IPO shares of potentially hot stocks such as Facebook have