Michael Rosensaft

Michael Rosensaft

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume IX, Issue 14

In this issue: - SEC Requests Comment on FINRA Rules - CFTC Issues Interpretation Regarding Auditor Independence Standards - OTC Derivatives Regulators Group Issues Report to G20 - NFA...more

4/7/2014 - Auditors Audits CFTC FATF FINRA G20 NFA ORC SEC Securities Fraud Virtual Currency

Corporate and Financial Weekly Digest - Volume IX, Issue 5

In this issue: - FTC Announces New Filing Thresholds for Hart-Scott-Rodino Pre-Merger Notifications - SEC Division of Corporation Finance Issues Three C&DIs Relating to “Unbundling Rule” - NFA Members...more

2/4/2014 - Bitcoins Bundling Rules CFTC Derivative Suit FinCEN FTC Hart-Scott-Rodino Act Insider Trading NFA Pre-Merger Filing Requirements SEC Shareholder Litigation Shareholders The Clayton Act Virtual Currency

Alcoa Subsidiary Pleads Guilty to FCPA Charge, Will Pay $348 Million

On January 9, Alcoa World Alumina LLC, a majority-owned and controlled global alumina sales company of Alcoa Inc., agreed to plead guilty and to pay $223 million in criminal fines and forfeitures to resolve charges that it...more

1/16/2014 - Anti-Bribery Bribery Disgorgement Enforcement FCPA Political Corruption SEC

Concurrent Resolution of FCPA, Export Controls and Sanctions Violations Demonstrates Close Cooperation of Federal Agencies

On November 26, the Department of Justice (DOJ) and the Securities and Exchange Commission announced an agreement with three subsidiaries of Swiss oil services company Weatherford International Ltd. to settle Foreign Corrupt...more

12/17/2013 - DOJ Export Controls Exports FCPA International Emergency Economic Powers Act SEC Trading with the Enemy Act

SEC Issues Latest Whistleblower Award for $150K

On October 30, the Securities and Exchange Commission announced an award of nearly $150,000 to an unnamed whistleblower whose tips helped the agency stop a scheme that was defrauding investors. The tips provided by the...more

11/13/2013 - Fraud SEC Whistleblower Awards Whistleblowers

SEC Accuses Investment Adviser of Misrepresenting Its Algorithmic Trading Capacity

The Securities and Exchange Commission recently charged a North Carolina-based investment adviser and its former owner with making false statements about the firm’s ability to engage in algorithmic currency trading....more

9/4/2013 - Algorithmic Trading False Statements Investment Adviser Misrepresentation SEC

Ninth Circuit Affirms Radical Bunny LLC Managers’ Securities Violations

The US Court of Appeals for the Ninth Circuit upheld summary judgment in favor of the Securities and Exchange Commission, finding that managers of unregistered broker-dealer Radical Bunny LLC (Radical Bunny) failed to raise...more

7/25/2013 - Broker-Dealer False Statements Fraud Policy Violations Registration SEC Summary Judgment

Delaware Court of Chancery Appoints Receiver to Ensure Stockholders’ Meeting

The Delaware Court of Chancery recently determined that the appropriate remedy for a corporation’s failure to comply with court orders to hold a long overdue stockholders’ meeting was to appoint a receiver with authority to...more

6/26/2013 - Corporate Governance Receivership SEC Shareholders Stockholders' Meetings

Court Finds Section 15(a) of the Exchange Act Only Applicable in Domestic Transactions

The US District Court for the Northern District of Illinois recently granted defendants’ motion to dismiss one count of a Securities and Exchange Commission complaint, finding that the registration requirement under Section...more

4/17/2013 - Foreign Exchanges SEC Securities Exchange Act

Second Circuit Bars Criminal Defendant from Accessing Assets Frozen by Regulators

The US Court of Appeals for the Second Circuit recently upheld a district court’s refusal to release nearly $4 million in assets frozen by the Securities and Exchange Commission and the Commodity Futures Trading Commission to...more

4/17/2013 - Criminal Defense Divorce Fraud Frozen Assets Marital Assets SEC

Court Dismisses Securities Class Action Alleging Misrepresentations About "Cannibalization"

A class-action complaint filed against Travelzoo, Inc. (Travelzoo) in the US District Court for the Southern District of New York was recently dismissed. The complaint alleged that Travelzoo made misstatements in its...more

4/10/2013 - Cannibalization Class Action Competition SEC Travelzoo

SEC and Department of Justice Release Detailed FCPA Resource Guide

On November 14, the Criminal Division of the Department of Justice and the Enforcement Division of the Securities and Exchange Commission released long-awaited guidance on the Foreign Corrupt Practices Act (FCPA)...more

11/20/2012 - Compliance DOJ FCPA FCPA Resource Guide SEC

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