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Results: 1-10 of 659

Federal Appeals Court Upholds Conviction and Sentencing of First Person Criminally Charged for Spoofing Under Dodd-Frank Prohibition
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2017

Yesterday, Michael Coscia's criminal conviction and sentencing for spoofing was unanimously upheld by a three-judge Federal Court of Appeals panel in


SEC Warns That Digital Tokens May Be Securities
  • Katten Muchin Rosenman LLP
  • USA
  • August 3 2017

On July 25, the Securities and Exchange Commission (SEC or the Commission) published a Report of Investigation (Report) pursuant to Section 21(a) of


Court holds late fee provision is not liquidated damages provision
  • Katten Muchin Rosenman LLP
  • USA
  • October 23 2009

The United States District Court for the District of Delaware denied defendant issuer’s motion to dismiss plaintiff’s claims for actual damages resulting from the defendant’s failure to file a registration statement within the time period required by the parties’ agreement


False confidential witness information warrants reconsideration and dismissal in securities class action
  • Katten Muchin Rosenman LLP
  • USA
  • March 11 2011

The U.S. District Court for the Northern District of Illinois granted a motion for reconsideration pursuant to Rule 54(b) of the Federal Rules of Civil Procedure on the ground that the court's previous order denying a dismissal motion relied on false information concerning a confidential witness's position and personal knowledge


No rescission of investment contract absent finding of fraud
  • Katten Muchin Rosenman LLP
  • USA
  • June 5 2009

Plaintiffs sued an individual defendant in whose company they had invested, alleging violations of the Securities Exchange Act of 1934, breach of the investment contract, and common law fraud based upon defendant’s failure to disclose ongoing litigation at the time plaintiffs purchased their stock from the defendant for $1,050,000


Diamonds May Be Forever, but US Supreme Court Rules SEC Ability to Seek Disgorgement Limited to Five Years
  • Katten Muchin Rosenman LLP
  • USA
  • June 11 2017

The United States Supreme Court ruled last week that the Securities and Exchange Commission may only commence enforcement actions seeking


Investment Advisers Act has a onethree-year statute of limitations
  • Katten Muchin Rosenman LLP
  • USA
  • February 13 2009

The U.S. District Court for the Eastern District of Texas adopted the magistrate judge’s findings and recommended disposition and granted summary judgment in favor of the defendants


“Deliberate recklessness” standard should have been applied in scienter analysis
  • Katten Muchin Rosenman LLP
  • USA
  • February 8 2008

In a Securities and Exchange Commission enforcement action, a federal district court granted defendants’ motions for reconsideration of the entry of summary judgment against them on claims asserted under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5


District court denies media executives summary judgment in SEC action
  • Katten Muchin Rosenman LLP
  • USA
  • January 14 2011

The Securities and Exchange Commission brought an enforcement action against three former executives of a major media company, alleging that the executives improperly reported $1 billion in online advertising revenue


UK Court of Appeal Decision: Certain Administrative Activities Conducted in the UK
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • May 27 2016

On May 17, 2016, the UK Court of Appeal issued a ruling (the Decision) in the case of Personal Touch Financial Services v Simplysure, which