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Article

Dorsey & Whitney LLP | USA | 19 May 2014

Doctors settle SEC insider trading charges

The Commission filed two settled insider trading cases against medical practitioners who traded while in possession of material non-public

Article

Dorsey & Whitney LLP | USA | 21 Apr 2014

SEC files another settled insider trading case

Insider trading continues to be a key priority in the new get tough enforcement era. Last week closed with the filing of an insider trading action

Article

Dorsey & Whitney LLP | USA | 20 Nov 2012

$276 million in insider trading profits from expert network tips

Just when it appeared that the expert network insider trading investigations had come to an end with convictions and guilty pleas, the Manhattan U.S. Attorney’s Office and the SEC announced the filing of what may be the most lucrative of insider trading cases with profits made and losses avoided totaled $276 million.

Article

Dorsey & Whitney LLP | USA | 14 Nov 2011

A circuit split on class certification in securities fraud cases

The Ninth Circuit joined the Third and the Seventh in concluding that at the class certification stage plaintiffs in a securities fraud damage action need not prove materiality to utilize the fraud-on-the market.

Article

Dorsey & Whitney LLP | USA | 16 Aug 2011

Another guilty plea in an insider trading case

Insider trading continues to be a key focus of enforcement authorities who obtained another guilty plea from a hedge fund portfolio manger tied to an expert network.

Article

Dorsey & Whitney LLP | USA | 3 Aug 2011

SEC files fraud action against biotech company and its executives

The SEC filed an action against a biotech company, three shareholder companies, and four senior executives of the company for making false statements regarding the FDA status of its sole product.

Article

Dorsey & Whitney LLP | USA | 23 Mar 2011

The Supreme Court affirms its traditional materiality test

The Supreme Court adopted the position of the SEC, affirming its traditional test of materiality.

Article

Dorsey & Whitney LLP | USA | 28 Jan 2011

Insider trading: SEC v. Fan

SEC v. Fan, Case No. C11-0096 (W.D. WA. Filed Jan. 18, 2011) is an action against Defendants Zizhong (James) Fan and Zishen (Brandon) Fan and relief defendant Junhua Fan, all relatives (here).

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