Katie Lieberg Stowe

Katie Lieberg Stowe

Orrick, Herrington & Sutcliffe LLP

Contact  |  View Bio  |  RSS

Latest Posts › Enforcement Actions

Share:

Bank of America and Merrill Lynch Settle RMBS Lawsuit with FDIC

On November 17, Bank of America and Merrill Lynch settled securities claims brought by the FDIC related to RMBS sold to United Western Bank. The FDIC, as the receiver for United Western Bank, alleged claims under the...more

11/25/2014 - Bank of America Enforcement Actions FDIC Merrill Lynch RMBS Securities Act of 1933 Settlement

Honey, You Did What? SEC Charges Yet Another Spouse With Insider Trading

On March 31, 2014, the Securities and Exchange Commission brought insider trading charges against Ching Hwa Chen, the husband of a corporate insider, alleging that he misappropriated financial information from his wife and...more

4/9/2014 - Enforcement Actions Insider Trading SEC

Quid Pro Quo, Yes Or No? SEC Signs First Individual Deferred Prosecution Agreement

The SEC this year has demonstrated its willingness to incentivize whistleblowers and companies to share information about misconduct and assist with the SEC’s investigations. To that end, the SEC issued its first Deferred...more

11/20/2013 - Deferred Prosecution Agreements Enforcement Actions SEC

SEC Wins Some, Loses Some In Aggressive Insider Trading Case, SEC Doesn’t Know Who Tipped In All Know Insider Trading Case

In a decision rendered from the United States District Court for the Northern District of Illinois, Eastern Division, Judge Ronald Guzmán granted summary judgment on the SEC’s insider trading claims as to three defendants but...more

6/26/2013 - Enforcement Actions Illegal Tipping Insider Trading SEC

4 Results
|
View per page
Page: of 1

All the intelligence you need, in one easy email:

Great! Your first step to building an email digest of JD Supra authors and topics. Log in with LinkedIn so we can start sending your digest...

Sign up for your custom alerts now, using LinkedIn ›

* With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name.
×