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Results: 1-10 of 22

SEC files market crisis cases against Bank of America, UBS
  • Dorsey & Whitney LLP
  • USA
  • August 6 2013

The Commission filed two new market crisis cases, one in conjunction with the Department of Justice. Once action is against Bank of America, N.A


The Commission’s latest market crisis case
  • Dorsey & Whitney LLP
  • USA
  • March 14 2012

The SEC brought another market crisis case centered on the failure of senior corporate officials to disclose the disintegrating financial condition of their company as the market crisis unfolded


The impact of Janus: a loss for the commission
  • Dorsey & Whitney LLP
  • USA
  • November 3 2011

The narrow focus of Janus Capital Group, Inc. v. First derivative Traders, 131 S.Ct. 2296 (2011) may have a significant impact in private damage actions and SEC enforcement cases


This time it is the NY AG whose ARS case was dismissed
  • Dorsey & Whitney LLP
  • USA
  • November 2 2011

The SEC and the NY AG have been successful in settling a series of market crisis cases centered on the collapse of the auction rate securities market in March 2008


The SEC continues its strict liability approach to SOX 304
  • Dorsey & Whitney LLP
  • USA
  • September 7 2011

The Commission continues to pursue its strict liability policy regarding the application of Section 304 of the Sarbanes Oxley Act


Another Galleon defendant is sentenced to prison
  • Dorsey & Whitney LLP
  • USA
  • August 22 2011

Another defendant in the on going Galleon insider trading investigation was sentenced to prison


SEC settles FCPA case with liquor giant Diageo
  • Dorsey & Whitney LLP
  • USA, South Korea, Thailand
  • July 28 2011

The SEC concluded an FCPA investigation with Diageo, plc, in a settled administrative proceeding


Effective enforcement begins with adequate funding for the SEC
  • Dorsey & Whitney LLP
  • USA
  • July 18 2011

The SEC has in recent years suffered through its fair share of failures, blunders and gaffs


Summary judgment granted against SEC in ARS case
  • Dorsey & Whitney LLP
  • USA
  • June 30 2011

Last week Morgan Keegan & Co. settled an administrative proceeding centered on the market crisis which claimed that the NAV calculations for certain investment funds made as the markets catapulted downward were false


SFO investigates EADS for bribery
  • Dorsey & Whitney LLP
  • United Kingdom
  • June 24 2011

The Serious Fraud Office (“SFO”) is investigating allegations that the European defence group, European Aeronautic Defence & Space (“EADS”), gave Saudi Arabian officials luxury cars, jewellery and briefcases of cash in the process of securing a £2 billion communications contract