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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


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



Thomas O. Gorman
  • Dorsey & Whitney LLP