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Results: 1-10 of 501

Second Circuit denies investor’s second appeal for new trial
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2012

Frederic Bourke Jr. (Bourke) recently lost a second appeal stemming from his 2009 conviction for violating the Foreign Corrupt Practices Act (FCPA


Texas District Court addresses misappropriation theory of insider trading
  • Katten Muchin Rosenman LLP
  • USA
  • March 15 2013

The US District Court for the Northern District of Texas recently denied a defendant's motion for summary judgment in a Securities and Exchange


Texas District Court denies class certification in IPO securities suit
  • Katten Muchin Rosenman LLP
  • USA
  • March 28 2014

The US District Court for the Northern District of Texas recently denied class certification for a securities action arising from alleged false and


SEC alleges insider trading by two friends in advance of the acquisition of the Shaw Group Inc.
  • Katten Muchin Rosenman LLP
  • USA
  • April 18 2014

On April 3, the Securities and Exchange Commission brought a lawsuit against Walter Wagner and Alexander Osborn, alleging that the two friends


Southern district dismisses complaints against China North director and consultant
  • Katten Muchin Rosenman LLP
  • USA
  • December 19 2014

On December 10, a New York district court judge dismissed a securities fraud class action brought by investors in China North East Petroleum Holdings


SEC urges Third Circuit to adopts its interpretation of whistleblower retaliation protections
  • Katten Muchin Rosenman LLP
  • USA
  • December 19 2014

Last week, the Securities and Exchange Commission submitted an amicus brief in support of an appellant before the US Court of Appeals for the Third


SEC brings fraud charges against oil and gas company and its CEO
  • Katten Muchin Rosenman LLP
  • USA
  • August 8 2014

On August 4, the Securities and Exchange Commission instituted cease-and-desist proceedings against Houston American Energy Corp., an oil and gas


High-frequency trading firm pays us $1 million for serving too much “Gravy” on the close from June to December 2009
  • Katten Muchin Rosenman LLP
  • USA
  • October 19 2014

Athena Capital Research, LLC, a New York City-based high-frequency trading firm, settled charges brought by the Securities and Exchange Commission


Federal Court Finds No Possible Manipulation of US Treasury Markets Where No Allegation of Intent
  • Katten Muchin Rosenman LLP
  • USA
  • October 16 2016

A US federal court in Chicago dismissed a lawsuit against anonymous "John Doe" defendants that claimed the defendants engaged in spoofing-type


Money manager sues SEC to stop administrative action in $1.5 billion CDO case
  • Katten Muchin Rosenman LLP
  • USA
  • March 28 2014

A money manager and his firm recently sued the Securities and Exchange Commission claiming that the agency violated their constitutional rights by