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394 results found


Shearman & Sterling LLP | USA | 6 Nov 2018

SEC Enforcement Division Releases Report On FY 2018, Highlighting Focus On Cyber And Efforts To Protect Retail Investors

On November 2, 2018, the U.S. Securities and Exchange Commission (“SEC”) Enforcement Division issued its annual report (“Annual Report”) on


Baker McKenzie | Canada | 12 Jul 2016

“Magic Lady” fails in Constitutional Challenge

On May 26, 2016, the British Columbia Provincial Court dismissed Rashida Samji’s request for a stay of criminal fraud charges in R v. Samji. The


Day Pitney LLP | USA | 28 Jul 2011

Broad fraud

The 11th Circuit held that a search warrant allowing federal agents to seize all business records of a company fit within the "pervasive-fraud doctrine."


Herbert Smith Freehills LLP | United Kingdom | 8 Jun 2011

Delaying asset disclosure under worldwide freezing orders: no more pulling yourself up by your bootstraps? JSC BTA Bank v Ablyazov & others 2010 EWHC 2352 (comm)

It is common for defendants to seek to delay compliance with the asset disclosure provisions of freezing and proprietary injunctions.


Katten Muchin Rosenman LLP | USA | 11 Feb 2011

Securities fraud claims dismissed for failure to plead with particularity

Individual plaintiffs residing in Switzerland and France brought suit against four corporate defendants, as well as certain corporate officers thereof, for, among other things, violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5.


Bracewell LLP | USA | 1 Nov 2010

FERC settlement of manipulation claims in PJM region

The Federal Energy Regulatory Commission (“FERC” or “Commission”) released an Order Approving Stipulation and Consent Agreement involving North America Power Partners (“NAPP”) in Docket No. IN09-6.


Morgan Lewis | USA | 29 Oct 2010

FERC approves $2.7 million settlement resolving electric power market manipulation investigation

On October 28, the Federal Energy Regulatory Commission (Commission) issued an order approving a $2.7 million settlement relating to allegations that North America Power Partners (NAPP) engaged in fraudulent conduct in violation of the Commission’s prohibition against market manipulation and committed multiple violations of the PJM Interconnection, LLC’s (PJM) Open Access Transmission Tariff (OATT).


Rajah & Tann Asia | United Kingdom | 22 Oct 2010

Can entire agreement and exclusion clauses cure misrepresentations?

The case of BSkyB v HP Enterprise Services UK Ltd 2010 QBD 267 (TCC) involved an invitation to tender by the Plaintiff company.


Foley & Lardner LLP | USA | 11 Oct 2010

California investment adviser agrees to payment of fine with respect to failure to disclose conflict of interest

Valentine Capital Asset Management, a California-based registered investment adviser, agreed to settle an SEC enforcement action by disgorging approximately $400,000 it received in excess commissions, paying a $70,000 penalty, and agreeing to be censured.


Katten Muchin Rosenman LLP | USA | 1 Oct 2010

Fifth Circuit finds that accurate reporting of manipulated prices is not fraud

The Fifth Circuit found that buyers of natural gas did not commit fraud by reporting artificially low sales prices to an industry index in order to reduce market prices.

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