Michael S. Gordon

Michael S. Gordon

Katten Muchin Rosenman LLP

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Latest Posts › Securities Fraud


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

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

CFTC Sues Chinese Citizen Accused of Executing Fraudulent Money Pass Trades

The Commodity Futures Trading Commission recently sued Chinese citizen Yumin Li, for violations of the Commodity Exchange Act (CEA). The CFTC accused Ms. Li of fraudulently accessing her employer’s futures account to transfer...more

7/16/2015 - CFTC Civil Monetary Penalty CME Commodities Exchange Act Disgorgement Enforcement Actions Futures Securities Fraud

Software Company to Face Suit Over Contract Restructuring

The United States District Court for the Northern District of California sustained a securities fraud complaint alleging that the defendants, a software company and its executives, had defrauded investors by failing to...more

4/2/2015 - Advertising Failure to Report Online Advertisements Pharmaceutical Industry Securities Securities Fraud Software Developers

Corporate & Financial Weekly Digest - Volume X, Issue 12

In this issue: - SEC Adopts Final Rules for Regulation A+ Offerings - FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions - FINRA Issues...more

3/30/2015 - AIFMD Algorithmic Trading CFTC Final Rules FINRA New Guidance Pharmaceutical Industry Regulation A Regulation SHO SEC Securities Fraud Supervision

Government Seeks Extended Prison Term in Securities Fraud Case

In a sentencing memorandum filed January 2, the United States Attorney’s Office in Washington asked the US District Court for the Western District of Washington to sentence Dickson Lee, the former chief executive of L&L...more

1/21/2015 - CEOs Criminal Prosecution Federal Sentencing Guidelines Securities Securities Fraud Sentencing

Corporate and Financial Weekly Digest - Volume X, Issue 2

In this issue: - New Law Aligns Clearing and Margin Exceptions for Swaps - CFTC Staff Extends No-Action Relief to Certain Reporting Counterparties Masking Identifying Information Pursuant to Non-US Law -...more

1/19/2015 - Appraisal CFTC Compliance EMIR Enforcement Actions ESMA European Commission Fixed Income Investments LiquidAlts MiFID No-Action Relief SEC SEC Examination Priorities Securities Securities Fraud Shareholders Swap Clearing Swaps Terrorism Insurance TRIA

Supreme Court Decides Halliburton Co. v. Erica P. John Fund, Inc.

On June 23, the Supreme Court in Halliburton Co. v. Erica P. John Fund, Inc. held that a securities class action defendant may introduce evidence at the class certification stage to rebut the presumption that an alleged...more

7/2/2014 - Basic v Levinson Class Certification Fraud Fraud-on-the-Market Halliburton Halliburton v Erica P. John Fund Presumption of Reliance SCOTUS Securities Fraud

Corporate and Financial Weekly Digest - Volume IX, Issue 26

In this issue: - Delaware Fee-Shifting Legislation Delayed - SEC Orders Securities Exchanges and FINRA to Develop Tick Size Pilot Plan - CFTC Extends Relief to FCMs from Certain Commingling...more

6/30/2014 - CFTC FCMs Fee-Shifting FINRA Fraud-on-the-Market Halliburton v Erica P. John Fund NFA No-Action Letters SCOTUS SEC Securities Securities Fraud Shareholder Litigation Shareholders Swap Dealers Swaps

Fourth Circuit Declines to Extend Janus to Criminal Cases

A three-judge panel of the US Court of Appeals for the Fourth Circuit recently affirmed the dismissal of a lawyer’s habeas petition, finding that Janus Capital Group Inc. v. First Derivative Traders, a US Supreme Court case...more

5/21/2014 - Criminal Prosecution Dismissals False Statements Habeas Corpus Investment Adviser Janus Capital Group Securities Fraud

Securities Fraud Claims Against CommScope Dismissed

The US District Court for the Western District of North Carolina dismissed a shareholder securities fraud claim against CommScope, Inc. and its officers, holding that the company’s alleged misrepresentations constituted...more

8/21/2013 - Dismissals Misleading Statements Misrepresentation Rule 10b-5 SEC Securities Fraud

Delaware Court Dismisses Securities Fraud Action Against Power Plant Executives

The US District Court for the District of Delaware dismissed a class action for securities fraud against former officers and directors of a geothermal energy company, in which the plaintiffs alleged that the defendants had...more

5/8/2013 - Class Action Geothermal Energy Securities Fraud

Gaming Company’s Regulatory Delays Insufficient to Give Rise to a Securities Fraud Claim

The US District Court for the Northern District of Illinois dismissed securities fraud claims against WMS Industries (WMS), a gaming and slot machine manufacturer, and certain of its executives, holding that a would-be class...more

5/8/2013 - Gaming Private Securities Litigation Reform Act of 1995 Securities Fraud

District of Colorado Dismisses, in Part, Securities Fraud Claims in Ponzi Scheme Suit

The US District Court for the District of Colorado considered several motions to dismiss a class-action suit filed by plaintiff Touchtone Group, LLC to recover damages resulting from a Ponzi scheme devised by Mantria...more

1/10/2013 - Dismissals Ponzi Scheme SEC Securities Fraud

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