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17 results found

Article

Dorsey & Whitney LLP | USA | 24 Jun 2014

The benefits of cooperation

Enforcement officials frequently emphasize the benefits of cooperation. The cases involving former Credit Suisse Managing Director David Higgs

Article

Dorsey & Whitney LLP | USA | 19 Nov 2013

JPMorgan settles civil RMBS claims

JPMorgan settled its civil liability with the Department of Justice and others stemming from the mortgage market, agreeing to pay $13 billion. The

Article

Dorsey & Whitney LLP | USA | 7 Nov 2013

This week in securities litigation (week ending November 8, 2013)

SAC Capital agreed to plead guilty this week. Under the terms of the deal the firm will plead guilty to each count in the indictment, pay a total

Article

Dorsey & Whitney LLP | USA | 5 Feb 2013

DOJ files a significant market crisis case against S&P

The Department of Justice brought what is perhaps the most significant market crisis case to date, named as defendants rating agency Standard &

Article

Dorsey & Whitney LLP | USA | 28 Jan 2013

SEC, USAO charge former broker with securities fraud tied to market crisis

The SEC and the U.S. Attorney for the District of Connecticut filed, respectively, civil and criminal fraud charges against a former account

Article

Dorsey & Whitney LLP | USA | 5 Oct 2012

This week in securities litigation (week ending October 5, 2012)

The President’s new market crisis task force brought its first action this week.

Article

Dorsey & Whitney LLP | USA | 3 Oct 2012

The first case for the President’s Residential Mortgage-Backed Securities Working Group

The President’s Residential Mortgage-Backed Securities Working Group, announced earlier this year in the State of the Union speech, brought its first case.

Article

Dorsey & Whitney LLP | USA, Australia, United Kingdom, etc. | 23 May 2012

Protecting investors in the U.S. and abroad

The SEC faces a variety of issues in protecting U.S. investors in the capital markets of this country.

Article

Dorsey & Whitney LLP | USA | 4 Nov 2011

This week in securities litigation (November 4, 2011)

The rapid collapse of MF Global into bankruptcy amid claims that millions of dollars in customer funds is a key focus for the SEC and CFTC as well as SIPIC this week.

Article

Dorsey & Whitney LLP | USA | 3 Nov 2011

The impact of Janus: a loss for the commission

The narrow focus of Janus Capital Group, Inc. v. First derivative Traders, 131 S.Ct. 2296 (2011) may have a significant impact in private damage actions and SEC enforcement cases.

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