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Results: 1-10 of 73

This week in securities litigation (week ending April 4, 2014)
  • Dorsey & Whitney LLP
  • USA, Australia, United Kingdom, Hong Kong
  • April 3 2014

High speed trading and insider trading were key topics this week. Author Michael Lewis released a new book on high speed trading and, in an interview


FCPA: a focus on individuals
  • Dorsey & Whitney LLP
  • USA
  • April 2 2014

FCPA enforcement officials have repeatedly emphasized that they intend to focus on individuals as an effective means of halting possible violations. A


Jefferies settles market crisis failure to supervise actions with SECUSAO
  • Dorsey & Whitney LLP
  • USA
  • March 12 2014

Registered broker-dealer Jefferies LLC resolved failure to supervise charges tied to the market crisis with the SEC and the U.S. Attorney for the


Disgorgement in an SEC action when the fund has profits but not the trader
  • Dorsey & Whitney LLP
  • USA
  • February 26 2014

Earlier this month the Third Circuit resolved an issue regarding causation, intervening causes and disgorgement in an SEC enforcement action. SEC v


The Lee insider trading case: a critical element of the SAC charges
  • Dorsey & Whitney LLP
  • USA
  • July 29 2013

The case against S.A.C. Capital received what appears to have been a critical, last minute boost when Richard Lee agreed to plead guilty to one count


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


Former Credit Suisse Managing Director pleads guilty in market crisis case
  • Dorsey & Whitney LLP
  • USA
  • April 15 2013

In one of the most significant market crisis cases to date, the former Global Head of Structured Credit Trading at Credit Suisse pleaded guilty to a


DOJ charges four Bizjet executives with FCPA violations
  • Dorsey & Whitney LLP
  • USA
  • April 9 2013

The Department of Justice unsealed four FCPA indictments last week against individuals involved in the Bizjet International Sales and Support, Inc


SEC names long time financial adviser, partner in fraudulent scheme
  • Dorsey & Whitney LLP
  • USA
  • March 19 2013

A long time registered representative began misappropriating client funds in 2009 and funneling them to his business partner, her two sons and the


Anti-corruption digest
  • Dorsey & Whitney LLP
  • USA, United Kingdom, Global
  • December 21 2012

Several U.S. mayors are on trial for, under investigation for, or have just been found guilty of charges related to extortion and bribery. A brief rundown: