We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.


Clear all

Refine your search

6 results found


Dorsey & Whitney LLP | USA | 21 Jul 2014

SEC efforts to compel SIPIC coverage for Stanford victims rejected

The D.C. Circuit rejected efforts by the SEC to compel the Securities Investor Protection Corporation to liquidate a broker-dealer that was part of


Dorsey & Whitney LLP | USA | 13 Jun 2013

SEC reversed again by the D.C. Circuit

The SEC lost another case in the D.C. Circuit Court of Appeals. This time, however, it did not involve rule making. Rather, the action focused on the


Dorsey & Whitney LLP | USA | 1 May 2013

The SEC prevails in the D.C. Circuit

The Dodd-Frank provision requiring the disclosure of certain payments made to foreign governments relating to the commercial development of oil


Dorsey & Whitney LLP | USA, China | 1 Aug 2012

The SEC and Chinese issuers: transparency and accountability

This is the first segment of a five part series examining issues arising in SEC Enforcement Actions relating to issuers from the PRC whose shares are traded in the U.S.


Dorsey & Whitney LLP | USA | 24 Jun 2012

SEC order vacated for failing to consistently apply its rule

The D.C. Circuit vacated another Commission determination last week.


Dorsey & Whitney LLP | USA | 21 Jan 2011

Financial fraudinsider trading

SEC v. Radcliffe, Civil Action No. 1:11-cv-00091 (D.D.C. Filed Jan 14, 2011) is an action against Joseph Racliffe and his son Michael who operated a sports memorabilia company called Image Innovations Holdings, Inc.

Previous page 1 Next page