Margaret McQuade

Margaret McQuade

Katten Muchin Rosenman LLP

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SEC Brings Complaint in $68 Million Affinity Fraud Scheme

On July 6, the Securities and Exchange Commission filed a complaint in connection with a $68 million affinity fraud scheme allegedly orchestrated by Bingqing Yang, through her wholly owned management companies, Luca...more

7/23/2015 - China Civil Monetary Penalty Disgorgement EB-5 Foreign Investment Misappropriation Oil & Gas Ponzi Scheme SEC Securities Securities Exchange Act Securities Fraud

SEC Settles With Stock Promoters in Medical Marijuana Stock Manipulation Scheme

On July 9, the Securities and Exchange Commission settled with two stock promoters accused of reaping $2.5 million in illicit profits by manipulating stocks of medical marijuana microcap companies. According to the proposed...more

7/23/2015 - Criminal Prosecution Disgorgement Enforcement Actions Medical Marijuana Penny Stocks Price Manipulation Pump and Dump SEC Securities Act of 1933 Securities Exchange Act Settlement

Corporate & Financial Weekly Digest - Volume X, Issue 27

In this issue: - Court of Appeals for Third Circuit Overturns District Court Ruling Regarding Exclusion of Shareholder Proposal From Proxy Statement - FINRA Updates Its Interpretation of the SEC's Financial...more

7/20/2015 - Carried Interest CFTC CPOs DSIO FINRA Forward Contracts Oil & Gas Price Manipulation SEC Securities Fraud Shareholder Proposals Shareholders UK

Second Circuit Dismisses Suit Over FBI’s Wiretapping of Marital Conversations in Securities Fraud Investigation

Federal Bureau of Investigation (FBI) wiretapping played an important role in the wide-ranging insider trading investigation and subsequent trials of Galleon Group LLC principals and traders. During his criminal prosecution,...more

6/3/2015 - Appeals Cell Phones Criminal Prosecution Dismissals FBI Insider Trading Securities Securities Fraud Spouses Title III Wiretapping

Former Olympic Games Sponsor Settles With SEC for $25 Million Over FCPA Violations

On May 20, BHP Billiton Ltd. and BHP Billiton Plc (BHPB), a global resources company that sponsored the 2008 Beijing Summer Olympic Games, settled Securities and Exchange Commission charges of Foreign Corrupt Practices Act...more

6/2/2015 - BHP Billiton Cooperation Enforcement Actions FCPA Foreign Official Internal Controls Meals-Gifts-and Entertainment Rules Olympics SEC Settlement

Corporate & Financial Weekly Digest - Volume X, Issue 21

In This Issue: - Form BE-10 Filing Deadline Extended - Delaware Supreme Court Holds That Plaintiffs Must Specifically Plead Non-Exculpated Claims Against Disinterested Directors in Transaction Under Entire...more

6/1/2015 - BHP Billiton Bribery BRRD DE Supreme Court EMIR FCPA Form BE-10 Olympics Prudential Regulation Authority Securities Securities Fraud Settlement UCITS UK Wiretapping

SEC Grants Compliance Officer $1.4 to $1.6 Million Whistleblower Award

On April 22, the Securities and Exchange Commission announced that it is awarding a compliance officer between $1.4 million and $1.6 million for voluntarily providing the SEC with information that contributed to a successful...more

4/29/2015 - Chief Compliance Officers Internal Reporting SEC Whistleblower Awards Whistleblowers

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 & Financial Weekly Digest - Volume X, Issue 16

In this issue: - SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting - CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors - CFTC...more

4/27/2015 - CFTC DCMs ESMA Financial Markets High Frequency Trading SEC Securities SEFs Virtual Currency Whistleblower Awards

CFOs Ordered to Return Bonus and Profits Due to False Financial Statements

The Securities and Exchange Commission recently ordered two former CFOs of Saba Software, Inc. to reimburse the company for stock-sale profits and bonuses accrued during the 12-month periods following its materially false and...more

2/25/2015 - CFOs False Statements Personal Liability SEC

SEC Argues in Second Circuit Amicus Brief That Dodd-Frank Protects Inside Whistleblowers

On February 6, the Securities Exchange Commission filed an amicus brief advising the United States Court of Appeals for the Second Circuit that the whistleblower protections of the Dodd-Frank Wall Street Reform and Consumer...more

2/25/2015 - Anti-Retaliation Provisions Dodd-Frank Internal Reporting Retaliation Rule 21F SEC Whistleblower Protection Policies Whistleblowers

Corporate and Financial Weekly Digest - Volume X, Issue 7

In this issue: - CFTC’s Energy and Environmental Markets Advisory Committee To Hold Meeting - CFTC Announces Members of Market Risk Advisory Committee - NFA Notifies SDs and MSPs of Annual Questionnaire...more

2/23/2015 - CFOs CFTC Derivatives Dodd-Frank ESMA EU Financial Conduct Authority Financial Statements Foreign Exchanges MiFID II Sarbanes-Oxley SEC Stock Sale Agreements UK Whistleblowers

SEC Obtains $585 Million Judgment Against MRI International for Ponzi Scheme

A Nevada District Court granted the Securities and Exchange Commission’s request for a $585 million judgment against MRI International, Inc. and its former CEO, Edwin Fujinaga, consisting of disgorgement, prejudgment interest...more

2/12/2015 - Civil Monetary Penalty Disgorgement MRI International Ponzi Scheme Prejudgment Interest SEC

Corporate and Financial Weekly Digest - Volume X, Issue 5

In this issue: - SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition - Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models - SEC Issues New...more

2/9/2015 - Accredited Investors CBOE Cybersecurity Emerging Growth Companies Enforcement Actions Equity Plans ESMA Exchange Offer Federal Reserve FINRA Glass Lewis Pay-for-Performance Ponzi Scheme Private Student Loans Proposed Amendments SEC Small Business Tender Offers

SEC Urges Third Circuit to Adopts Its Interpretation of Whistleblower Retaliation Protections

Last week, the Securities and Exchange Commission submitted an amicus brief in support of an appellant before the US Court of Appeals for the Third Circuit, urging the court to adopt its interpretation of whistleblower...more

12/30/2014 - Anti-Retaliation Provisions Dodd-Frank SEC Securities Exchange Act Whistleblower Protection Policies

Southern District Dismisses Complaints Against China North Director and Consultant

On December 10, a New York district court judge dismissed a securities fraud class action brought by investors in China North East Petroleum Holdings, Ltd. against former director Robert Bruce (and others) on the ground that...more

12/30/2014 - China North Petroleum Class Action Dismissals Material Misstatements Sarbanes-Oxley Scienter Securities Securities Fraud

Global Crowdfunding Site Consents to SEC Censure

Last week, the Securities and Exchange Commission censured Eureeca Capital SPC, an online, securities-based crowdfunding site incorporated in the Cayman Islands, for failing to implement procedures “reasonably designed” to...more

12/3/2014 - Crowdfunding Popular Public Offerings Sanctions SEC Securities

Investor Claims NetTALK Executives Took Control of Board

On November 5, Telestrata, LLC brought a derivative shareholder action and direct action against NetTALK.com, Inc., a publicly traded telecommunication company, and NetTALK’s directors and officers, alleging that the...more

12/3/2014 - Board of Directors Breach of Contract Breach of Duty Civil Conspiracy Controlling Stockholders Corporate Officers Debt Restructuring Derivative Suit Fraud NetTALK Shareholder Litigation Stock Deals Waiting Periods

Corporate and Financial Weekly Digest - Volume IX, Issue 46

In this issue: - US Court of Appeals for the District of Columbia Circuit Grants Petition for Rehearing of Decision on Conflicts Minerals Rule - Register for Our 2015 Proxy Season Update Webinar - SEC...more

11/24/2014 - Amnesty International Appeals CFTC Conflict Mineral Rules Crowdfunding Disclosure Requirements EU European Commission False Claims Act FinCEN FINRA Fixed Income Investments Forward Contract Exclusion Forward Contracts MSRB Proxy Season Proxy Voting Guidelines SEC Swap Dealers

SEC Announces Record Number of Enforcement Actions in FY 2014

Last week, the Securities and Exchange Commission provided a summary of its enforcement activities for its fiscal year 2014 (ending in September). The SEC announced that it brought a record 755 enforcement actions and...more

10/29/2014 - Disclosure Requirements Enforcement Actions Enforcement Statistics Insider Trading SEC Strategic Enforcement Plan

SEC Sanctions Athena in First High-Frequency Trading Manipulation Case

On October 16, in a groundbreaking trading manipulation case, the Securities and Exchange Commission entered an Order instituting a settled administrative proceeding against high-frequency trading firm Athena Capital...more

10/29/2014 - Athena Capital Enforcement Actions High Frequency Trading Market Manipulation Neither Admit Nor Deny Settlements Sanctions SEC Securities Exchange Act

Corporate and Financial Weekly Digest - Volume IX, Issue 42

In this issue: - Delaware Court of Chancery Rejects Controlling Stockholder Claims and Applies Business Judgment Rule to Merger Suits - FINRA Remarks at the National Society of Compliance Professionals...more

10/27/2014 - AIFM Business Judgment Rule CFTC Enforcement Actions ETFs FINRA High Frequency Trading IOSCO Private Funds SEC Shareholder Litigation Shareholders

SEC Obtains Asset Freeze of Turks and Caicos Company Conducting Ponzi Scheme

The Securities and Exchange Commission has obtained an emergency asset freeze of a Turks and Caicos company that allegedly ran a Ponzi scheme in Florida. According to the SEC’s complaint, between November 2004 and May 2014,...more

10/1/2014 - Asset Freeze Fraud Ponzi Scheme Scams SEC White Collar Crimes

Think Tanks Ask Supreme Court to Clarify Definition of “Foreign Official” in FCPA

Two think tanks, the Washington Legal Foundation and the Independence Institute, have filed an amicus brief in the Supreme Court on behalf of petitioners Joel Esquenazi and Carlos Rodriguez, who were recently convicted of...more

10/1/2014 - FCPA Foreign Official Instrumentality SCOTUS

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