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Article

Dorsey & Whitney LLP | USA | 24 Sep 2013

Making a bad day worse: an SEC insider trading investigation yields civil and criminal charges

Receiving a subpoena from the SEC in an insider trading case can be a bad day. There are ways to make it worse, much worse. A senior corporate

Article

Dorsey & Whitney LLP | USA | 30 Sep 2011

This week in securities litigation

Current market volatility was addressed this week when the Commission announced that the exchanges and FINRA would be filing updated circuit breaker rules.

Article

Dorsey & Whitney LLP | USA | 15 Jul 2011

This week in securities litigation (July 15, 2011)

This week the SEC lost its bid to dismiss an action brought by former Goldman Sachs director Rajat Gupta arising out of its insider trading case brought as an administrative proceeding against him.

Article

Dorsey & Whitney LLP | USA | 28 Jan 2011

Insider trading: Neil Rollins

Neil Rollins, former senior manager of PM Onboard Limited, was sentenced following a verdict finding him guilty of insider trading.

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