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361 results found

Article

Sheppard Mullin Richter & Hampton LLP | USA | 13 Jul 2018

New York Court of Appeals Rules that Civil Securities Fraud Claims Brought Under Martin Act are Subject to Three-Year Statute of Limitations

In People v. Credit Suisse Securities (USA) LLC, No. 40, 2018 WL 2899299 (N.Y. June 12, 2018), the Court of Appeals for the State of New York ruled

Article

Bradley Arant Boult Cummings LLP | USA | 16 Apr 2018

SEC Action Highlights Importance of Specific Language in Directors and Officers Insurance for Fintech and Other Startup Companies

The founder of Mozido, the fintech startup once claimed to be valued at $5.6 billion, has been named as a defendant in a civil lawsuit filed by the

Article

Dorsey & Whitney LLP | USA | 24 Oct 2011

Hedge fund manager added to a father-son insider trading case

Insider trading is a key focus of SEC enforcement.

Article

Dorsey & Whitney LLP | USA | 13 Oct 2011

Former FBI agent and wife charged with investment fraud

There is little new about another investment fund fraud or Ponzi scheme case except of course the victims.

Article

Dorsey & Whitney LLP | USA | 8 Sep 2011

SEC settles two Galleon related insider trading cases

The SEC resolved two Galleon related insider trading cases.

Article

Jones Day | USA | 6 Sep 2011

SEC alleges securities fraud by biopharmaceutical company and executives

On August 1, 2011, the SEC brought suit against Immunosyn Corporation, Argyll Biotechnologies LLC, and four executives, alleging that they had committed securities fraud related to misleading statements regarding the status of regulatory approvals during 200610.

Article

Duane Morris LLP | USA | 3 Aug 2011

Circuit courts uphold dismissal of securities claims based on alleged fraud in sale of auction rate securities

Two recent opinions from separate federal courts of appeal upheld the dismissal of lawsuits by sophisticated investors that suffered losses in the auction rate securities ("ARS") market against the securities broker-dealers that allegedly fraudulently induced the purchase of the ARS.

Article

Lowenstein Sandler LLP | USA | 23 Jun 2011

CDO fraud litigation and enforcement - 2011 survey

As of mid-2011, private plaintiffs and government regulators most prominently, the SEC continue to pursue fraud claims in connection with the marketing and sale of collateralized debt obligations (“CDOs”).

Article

Chadbourne & Parke LLP | USA | 23 Jun 2011

Supreme Court rejects 10b-5 liability for investment advisor who participated in drafting but did not itself issue allegedly misleading prospectuses

A sharply divided U.S. Supreme Court held that an investment advisor is not liable for securities fraud under SEC Rule 10b-5 for allegedly misleading statements contained in prospectuses issued by mutual funds that were managed and administered by the advisor.

Article

Dorsey & Whitney LLP | USA | 21 Jun 2011

The first expert network insider trading trial: guilty

Blue collar tactics continue to yield results for the Manhattan U.S. Attorney.

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