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Dorsey & Whitney LLP | USA, Australia, United Kingdom, etc. | 19 Sep 2014

This week in securities litigation (week ending September 19, 2014)

The Commission continued with broken windows this week. Twenty Rule 105 short selling cases were filed in a group. Last week another group of broken

Article

Dorsey & Whitney LLP | USA | 12 Sep 2014

This week in securities litigation (week ending September 12, 2014)

The SEC continued with its “broken windows” approach to enforcement this week, filing a group of 34 actions based on the failure to file either a

Article

Dorsey & Whitney LLP | USA | 28 Aug 2014

This week in securities litigation (week ending August 28, 2014)

In the roll-up to the Labor Day weekend, the SEC issued new rules regarding asset backed securities and credit rating agencies. The Commission also

Article

Dorsey & Whitney LLP | USA | 8 Aug 2014

This week in securities litigation (week ending August 8, 2014)

This week the SEC brought an action this centered on hidden fees and a series of actions centered on microcap fraud and investment fund fraud. A pump

Article

Dorsey & Whitney LLP | USA | 7 Aug 2014

Securities class actions and IPOs increased in the first half of 2014

The number of securities class actions filed in the first half of this year increased compared to the same period last year. During the same period

Article

Dorsey & Whitney LLP | USA | 24 Jul 2014

This week in securities litigation (week ending July 25, 2014)

The Commission issued its long discussed rules reforming money markets this week, requiring that institutional prime money market funds have a

Article

Dorsey & Whitney LLP | USA | 10 Jul 2014

This week in securities litigation (week ending July 11, 2014)

The unblemished record of the Manhattan U.S. Attorney's Office in insider trading cases came to an end this week with the acquittal of Rengan

Article

Dorsey & Whitney LLP | USA, Hong Kong | 26 Jun 2014

This week in securities litigation (week ending June 27, 2014)

The Supreme Court handed down its much anticipated decision in Halliburton. While the Court declined to overrule Basicand its presumption of reliance

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 | 17 Jun 2014

SEC obtains freeze order against recidivist and his entities

The Commission brought an action against a securities law recidivist and his entities who had raised about $22 million in a fraudulent investment

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