Litigation

Recent Posts

The Week In Securities Litigation: SEC Files 4 Settled Market Crisis Actions
Posted on 20 Jul 2012 by Thomas O. Gorman

The Commission entered into another deferred prosecution agreement this week while filing four settled market crisis actions. The agency also brought an unusual insider trading case centered on selling shares in a secondary offering and an accounting... Read More

The Week in Securities Litigation: Rogue Trader, SEC Expands Market Crisis Probe
Posted on 16 Sep 2011 by Thomas O. Gorman

As the week drew to a close reports surfaced of a rogue trader who had run up $2 billion in trading losses at UBS in London while the SEC reportedly is expanding its market crisis probe. At the same time Congress heard testimony from SEC Chairman Mary... Read More

The Week in Securities Litigation: Urban Clears Name, Charges Filed Against Credit Suisse
Posted on 3 Feb 2012 by Thomas O. Gorman

Former Farris Baker Watts General Counsel Ted Urban finally prevailed in his long running battle with the SEC to clear his name and reputation. The Commission, on an evenly divided vote, affirmed the initial decision of the Administrative Law Judge, dismissing... Read More

The Week In Securities Litigation: $600 Million Insider Trading Settlement Reached
Posted on 22 Apr 2013 by Thomas O. Gorman

The Second Circuit's pending decision in the Commission's Citigroup market crisis case continues to loom as Judge Marreno approved the over $600 million insider trading settlement involving SAC Capital - conditioned on the outcome of Citigroup... Read More