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15 results found

Article

Dorsey & Whitney LLP | USA | 27 Jan 2014

SEC charges investment adviser with improper conduct in two proceedings

The Commission filed two settled administrative proceedings involving Western Asset Management Co., a subsidiary of Legg Mason, Inc. One centered on

Article

Dorsey & Whitney LLP | USA | 11 Sep 2012

The SEC settles another significant market crisis case

The SEC settled another significant market crisis case at the close of last week when the founder and president of investment advisory firm ICP Asset Management, Thomas C. Priore and his firm, along with the related entities, agreed to settle a fraud action brought over two years ago.

Article

Dorsey & Whitney LLP | USA | 10 Sep 2012

SEC and CFTC bring actions against international investment manager

The SEC filed another case tied to the market crisis and Bernard Madoff last week.

Article

Dorsey & Whitney LLP | USA | 24 Oct 2011

Hedge fund manager added to a father-son insider trading case

Insider trading is a key focus of SEC enforcement.

Article

Dorsey & Whitney LLP | USA | 9 Sep 2011

This week in securities litigation

As the summer draws to a close and fall approaches the SEC announced it would not appeal the recent ruling striking down its proxy access rule.

Article

Dorsey & Whitney LLP | USA | 19 Jul 2011

An aggressive insider trading case

The SEC filed another “suspicious purchases” insider trading case.

Article

Dorsey & Whitney LLP | USA | 24 Jun 2011

This week in securities litigation (June 23, 2011)

The SEC continued implementing Dodd-Frank this week.

Article

Dorsey & Whitney LLP | USA | 23 Jun 2011

SEC and Morgan Keegan settle action tied to market crisis

The SEC resolved an action with Morgan Keegan and two of its officers based on the fraudulent pricing of subprime real estate mortgage backed securities.

Article

Dorsey & Whitney LLP | USA | 22 Jun 2011

Will the court approve the J.P. Morgan settlement?

Is the SEC heading for another confrontation with the court?

Article

Dorsey & Whitney LLP | USA | 20 Jun 2011

Speeding up SEC investigations

The Commission took another step last week in its continuing efforts to speed up the investigative process.

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