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Results:1-10 of 104

This week in securities litigation (week ending October 4, 2013)
  • Dorsey & Whitney LLP
  • USA
  • October 3 2013

Operation Broken Gate is the Commission's latest undertaking which focuses on the role of gatekeepers, according to a recent SEC press release


This week in securities litigation (two weeks ending July 12, 2013)
  • Dorsey & Whitney LLP
  • USA
  • July 12 2013

Statistics for case filings at the end of the second calendar quarter reflected a continuation of earlier trends regarding the filing of SEC


SEC fines CBOE $6 million for regulatory failures
  • Dorsey & Whitney LLP
  • USA
  • June 11 2013

The Chicago Board of Options Exchange became the first Self-Regulatory Organization to pay a civil penalty relating to its regulatory oversight


FIRREA civil money penalties
  • Dorsey & Whitney LLP
  • USA
  • May 16 2013

In a case of first impression, the District Court for the Southern District of New York has refused to dismiss the federal government's suit against


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

Mary Jo White, selected by the President as the next Chairman of the SEC, testified in her confirmation hearings before a Senate Committee this week


Supreme Court rejects SEC effort to extend statute of limitations
  • Dorsey & Whitney LLP
  • USA
  • February 27 2013

The Supreme Court rejected the SEC's effort to extend the five year statute of limitations for imposing a civil penalty by engrafting a discovery


Is the Mercury Interactive backdating case heading to trial after six years?
  • Dorsey & Whitney LLP
  • USA
  • February 25 2013

After nearly six years of litigation the SEC may have to prove its allegations claiming that stock options were repeatedly and fraudulently backdated


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

George Canellos and David Burger were appointed, respectively, the Acting Director and Acting Deputy Director of the SEC's Division of Enforcement


Last week, this week and the future trends of SEC enforcement
  • Dorsey & Whitney LLP
  • USA
  • January 6 2013

As rumors swirl that the Director of the SEC's Enforcement is about to become the latest division director to resign, the critical question is the future


SEC settles with former IndyMac CEO after dropping most claims
  • Dorsey & Whitney LLP
  • USA
  • October 1 2012

One of the Commission’s significant market crisis cases arose out of the collapse of IndyMac Bancorp, Inc.