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Article

Dorsey & Whitney LLP | USA | 14 May 2014

Three company founders settle SEC insider trading case

Most insider trading cases center on news about a corporate event such as an acquisition or an earnings announcement that has not become public. In

Article

Dorsey & Whitney LLP | USA | 6 Mar 2014

This week in securities litigation (week ending March 7, 2014)

The Supreme Court was the focus of securities litigation this week. Oral argument was presented in the long runningHalliburton case where the

Article

Dorsey & Whitney LLP | USA | 30 Sep 2013

The SEC’s operation broken gate: holding gatekeepers responsible

Operation Broken Gate is the SEC's effort to hold gatekeepers accountable. In announcing the initiative, the agency filed three actions involving

Article

Dorsey & Whitney LLP | USA | 10 Sep 2013

Investor relations executive settles SEC Regulation FD charge while cooperation wins company a declination

The Securities and Exchange Commission filed a settled administrative proceeding charging a former head of investor relations with violating

Article

Dorsey & Whitney LLP | USA | 30 Jul 2013

IR executive who wrote company insider trading policy charged by SEC with repeated insider trading

Insider trading continues to be a critical focus in securities enforcement actions. While few actions will match the significance of those filed

Article

Dorsey & Whitney LLP | USA | 2 Jun 2013

The SEC should make financial fraud an enforcement priority now

At the Financial Reporting Institute Conference last week SEC Commissioner Walter and Chief Accountant Paul Beswick addressed the necessity for high

Article

Dorsey & Whitney LLP | USA, China | 29 May 2013

The PCAOB and the PRC take an initial step

There may be a beginning to the end of the battle between U.S. and Chinese regulators over audit work papers relating to PRC based firms. The Public

Article

Dorsey & Whitney LLP | USA | 24 May 2013

This week in securities litigation (week ending May 24, 2013)

The focus this week in securities enforcement continues to be SAC Capital. The firm's owner received a grand jury subpoena in the on-going criminal

Article

Dorsey & Whitney LLP | USA | 19 Dec 2012

The SEC charges TheStreet, three officers in financial fraud action

The transition from a privately held company to being part of a public entity can be difficult.

Article

Dorsey & Whitney LLP | USA | 17 Oct 2012

The SEC’s Aberrational Performance Inquiry

The SEC’s Aberrational Performance Inquiry resulted in another case this week.

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