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7 results found

Article

Dorsey & Whitney LLP | USA | 2 Apr 2014

FCPA: a focus on individuals

FCPA enforcement officials have repeatedly emphasized that they intend to focus on individuals as an effective means of halting possible violations. A

Article

Dorsey & Whitney LLP | USA | 17 Jun 2013

SEC gets a split decision in an insider trading case

SEC v. All Know Holdings, Ltd., 11 C 8605 (N.D. Ill. Opinion issued June 10, 2013) is one of the SEC's aggressive insider trading actions, filed

Article

Dorsey & Whitney LLP | USA | 12 Mar 2013

SEC charges State of Illinois with misleading investors

The SEC charged the State of Illinois with misleading investors when selling about $2.2 billion in municipal bonds over a four year period beginning

Article

Dorsey & Whitney LLP | USA | 10 Sep 2012

SEC and CFTC bring actions against international investment manager

The SEC filed another case tied to the market crisis and Bernard Madoff last week.

Article

Dorsey & Whitney LLP | USA | 8 Feb 2012

Another offering fraud case

Cases involving the sale of unregistered securities and Ponzi schemes were among the leading categories of cases brought last year according to recent statistics from NERA Economic Consulting.

Article

Dorsey & Whitney LLP | USA | 7 Dec 2011

An aggressive insider trading case but is there a source?

The SEC continues to be aggressive in brining insider trading cases, filing its latest action on “information and belief” and “suspicious trading.”

Article

Dorsey & Whitney LLP | USA | 4 Aug 2011

The ex husband of Playboy CEO settles insider trading charges

The former husband of Playboy CEO Christie Hefner, attorney William Marovitz, settled insider trading charges with the SEC.

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