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Article

Dorsey & Whitney LLP | USA | 11 Nov 2011

This week in securities litigation (November 11, 2011)

This week the Commission announced that the Enforcement program filed the largest number of actions in fiscal 2011 in the history of the Division.

Article

Dorsey & Whitney LLP | USA, China | 20 Oct 2011

Watts Water Technologies, Inc

Adm. Proc. File No. 3-14585 (Oct 13, 2011) is an action against the company and Lessen Chang.

Article

Dorsey & Whitney LLP | USA | 17 Oct 2011

FCPA compliance: does the SEC “get it?”

“Do they get it?” This is a question frequently asked by FCPA enforcement officials.

Article

Dorsey & Whitney LLP | USA | 26 Sep 2011

Tone at the top, culture and the SEC

The SEC seems to be haunted by the ghosts of debacles past.

Article

Dorsey & Whitney LLP | USA | 23 Sep 2011

This week in securities litigation (September 23, 2011)

Scandal surfaced again at the SEC this week.

Article

Dorsey & Whitney LLP | USA | 21 Sep 2011

The SEC IG Report; insider trading

The SEC inspector general issued a report on Tuesday referring the matter regarding former SEC General Counsel David Becker’s involvement with the Madoff clawback suits to the DOJ.

Article

Dorsey & Whitney LLP | USA | 19 Sep 2011

Legislation to revamp the SEC

Two legislative proposals which would reorganize the SEC and impact the manner in which regulations are enacted are pending before the House Financial Services Committee.

Article

Dorsey & Whitney LLP | USA | 13 Sep 2011

Primary liability under Rule 10b-5

Primary liability in a Section 10(b)-5(b) false statement case was defined by the Supreme Court in terms of control and authority over the statement in Janus capital Group, Inc. v. First derivative Traders, 131 S.Ct. 2296 (2011).

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.

Article

Dorsey & Whitney LLP | USA | 10 Jun 2011

Lessons from the front lines of SEC and DOJ enforcement

On Wednesday, June 8, 2011 the firm hosted for the ABA a panel discussion on Current Trends in DOJ and SEC Financial Fraud Enforcement.

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