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Results: 11-20 of 861

CFTC sues trader for fraud and unauthorized swap trades
  • Katten Muchin Rosenman LLP
  • USA
  • September 28 2014

Gregory Evans, a former employee of an unnamed futures commission merchant and provisionally registered swap dealer, was sued by the Commodity


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


Former chief operating officer settles SEC fraud claims
  • Katten Muchin Rosenman LLP
  • USA
  • August 1 2014

The Securities and Exchange Commission recently announced that Peter Jenson, the former chief operating officer of Harbinger Capital Partners LLC


SEC charges Chilean citizens with insider trading concerning tender offer for Chilean
  • Katten Muchin Rosenman LLP
  • USA
  • January 9 2015

The Securities and Exchange Commission recently filed suit in the US District Court for the Southern District of New York, alleging that defendants


Broker-dealer fined US $3 million by FINRA for customer protection rule violations
  • Katten Muchin Rosenman LLP
  • USA
  • January 4 2015

Pershing LLCa registered broker-dealerwas fined US $3 million by the Financial Industry Regulatory Authority for not complying with Securities and