Emily Stern

Emily Stern

Katten Muchin Rosenman LLP

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Judge Declines to Dismiss Spoofing Charges Against High Frequency Trader

On April 16, the US District Court for the Northern District of Illinois denied a motion to dismiss “spoofing” charges against Michael Coscia, a high-frequency commodities futures trader, finding that the indictment was...more

4/29/2015 - Dodd-Frank Fraud High Frequency Trading Indictments Securities Fraud Spoofing

Corporate and Financial Weekly Digest - Volume IX, Issue 32

In this issue: - SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements - ICE Futures U.S. Issues Amendments to EFRP Rule and FAQs - Consumer Financial...more

8/18/2014 - AIFMD Banks Derivative Suit ESMA EU FCA Federal Savings Associations Fraud ICE OCC OCIE PSLRA SEC Securities Fraud Virtual Currency

Eleventh Circuit Clarifies Loss Amount Calculation for Securities Fraud Sentencing

The US Court of Appeals for the Eleventh Circuit recently vacated and remanded a defendant’s sentence because the US District Court for the Southern District of Florida inappropriately added a sentencing enhancement after...more

6/5/2014 - Convictions Fraud Proof of Loss Securities Fraud Sentencing

Corporate and Financial Weekly Digest - Volume IX, Issue 22

In this issue: - Delaware Legislation Banning Fee-Shifting in Bylaws and Charters - CFTC Proposes to Amend De Minimis Threshold for Swaps with Utility Providers - CFTC Grants Recordkeeping Relief for...more

6/2/2014 - Arbitration Broker-Dealer Bylaws CFTC Commodities De Minimis Claims Derivatives FCPA Fee-Shifting Statutes Foreign Official Fraud Instrumentality Mandatory Arbitration Clauses SEFs Swaps Utilities Sector

New York Attorney General Announces Agreement with Firms to Stop Cooperating in “Insider Trading 2.0”

New York’s Attorney General Eric T. Schneiderman announced this week that he reached interim agreements with 18 Wall Street firms that they will not participate in surveys by elite investment firms that seek to get an...more

3/5/2014 - Attorney Generals Fraud Insider Trading

Seventh Circuit Remands to Correct a “Thoroughly Botched” Sentencing for a Fraudulent Commodity Pool Operator

In a case illustrating the complexity of sentencing white collar crimes, the US Court of Appeals for the Seventh Circuit Court ordered the resentencing of a commodity pool operator where the district court made a “cascade of...more

1/9/2014 - Commodity Pool CPO Fraud Mail Fraud Money Laundering Ponzi Scheme Sentencing White Collar Crimes

Court Rejects "Core Operations" Theory of Scienter in Battery Manufacturer Fraud Case

The District Court of Massachusetts dismissed Section 10(b)(5) claims against executives of a battery systems company, holding that plaintiffs could not rely on the theory that knowledge of the falsity of the statements at...more

3/27/2013 - Core Operations Doctrine Corporate Officers Fraud Manufacturers Scienter

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