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23 results found

Article

Dorsey & Whitney LLP | USA | 27 Jun 2012

Fund manager Falcone is the center of a series of SEC actions

Well known hedge fund manager Philip Falcone is at the center of a series of cases filed by the SEC.

Article

Dorsey & Whitney LLP | USA | 28 Oct 2011

This week in securities litigation (October 28, 2011)

The Commission brought a series of high profile cases this week.

Article

Dorsey & Whitney LLP | USA | 26 Oct 2011

The SEC’s first action involving a dark pool

Dark pools have been a subject of concern to Congress, the SEC and the public for years.

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 | 13 Oct 2011

Former FBI agent and wife charged with investment fraud

There is little new about another investment fund fraud or Ponzi scheme case except of course the victims.

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 | 8 Sep 2011

SEC settles two Galleon related insider trading cases

The SEC resolved two Galleon related insider trading cases.

Article

Dorsey & Whitney LLP | USA | 3 Aug 2011

SEC files fraud action against biotech company and its executives

The SEC filed an action against a biotech company, three shareholder companies, and four senior executives of the company for making false statements regarding the FDA status of its sole product.

Article

Dorsey & Whitney LLP | USA | 27 Jul 2011

Armor Holdings, Inc.

Armor Holdings, Inc. (“Armor”), the maker of military trucks, has agreed to pay $16 million to resolve claims that it bribed a United Nations official to win contracts connected to peacekeeping missions.

Article

Dorsey & Whitney LLP | USA | 14 Jul 2011

BAE subsidiary armor holdings settles FCPA actions

Armor Holdings, Inc. resolved FCPA charges with the Department of Justice and the SEC.

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