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Results: 1-10 of 585

Hedge fund manager sanctioned for defrauding investors by hiding Madoff losses and theft
  • Katten Muchin Rosenman LLP
  • USA
  • October 12 2014

A federal judge ordered Nikolai Battoo and two companies he controlled, BC Capital Group S.A. (Panama) and BC Capital Group (Hong Kong) Limited, to


Japan SESC files spoofing action
  • Katten Muchin Rosenman LLP
  • Japan
  • October 12 2014

The Japan Securities and Exchange Surveillance Commission announced it had filed charges with the Tokyo District Public Prosecutors Office against


Corrective disclosure must provide new facts or fraud-revealing analysis
  • Katten Muchin Rosenman LLP
  • USA
  • August 22 2008

After a jury found that the defendant committed securities fraud under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, a district court granted the defendant’s motion for judgment as a matter of law


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


Insider dealers ordered to pay confiscation orders in excess of the profits generated from insider dealing
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • September 19 2014

On September 15, the UK Financial Conduct Authority (FCA) published a press release in which it announced that a group of persons found guilty of


Broker-dealer and two senior officers fined US $2.5 million for market access violations
  • Katten Muchin Rosenman LLP
  • USA
  • November 23 2014

Wedbush Securities Inc. and two senior officers resolved an enforcement action previously filed against them during June 2014 by the Securities and


Citigroup unit sanctioned US $15 million by FINRA for equity research dissemination practices
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2014

Citigroup Global Markets Inc. was fined US $15 million by the Financial Industry Regulatory Authority, principally for supervisory failures relating


SEC settles insider trading case, finding roommate relationship created duty of trust and confidence
  • Katten Muchin Rosenman LLP
  • USA
  • October 3 2014

The Securities and Exchange Commission recently accepted an offer of settlement submitted by Filip Szymik, in anticipation of a cease-and-desist


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


SEC charges executive with insider trading ahead of client announcements
  • Katten Muchin Rosenman LLP
  • USA
  • August 29 2014

The Securities and Exchange Commission recently filed a complaint in the US District Court for the Southern District of New York against a director