Tenley Mochizuki

Tenley Mochizuki

Katten Muchin Rosenman LLP

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District Court Reaffirms Rule 10b5-1 Standard and Denies Motion to Dismiss Insider Trading Charges

The US District Court for the Northern District of Illinois denied a motion to dismiss a 16-count indictment for insider trading, finding the government adequately alleged each element of the offense....more

7/30/2014 - Criminal Prosecution Insider Trading Rule 10b-5 Securities Fraud White Collar Crimes

SEC Settles Third-Party Insider Trading Claim Against Investor Relations Executive

The Securities and Exchange Commission recently announced a settlement with a partner at an investor relations firm who allegedly traded on inside information obtained through his representation of two companies. ...more

7/30/2014 - Civil Monetary Penalty Injunctions Insider Trading SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 29

In this issue: - SEC Approves FINRA Rule Limiting Expungement - CFTC Issues No-Action Relief from Certain Ownership and Control Reporting Requirements - CFTC Releases Rule Enforcement Review of ICE...more

7/28/2014 - CFTC FINRA Futures Insider Trading No-Action Relief Proxy Voting Guidelines Reporting Requirements Rule 10b-5 SEC

SEC Obtains Settlement for Investment Adviser’s Real Estate Investment Fraud

The Securities and Exchange Commission recently announced a settlement with an investment adviser based on alleged fraud in a real estate investment offering....more

6/25/2014 - Fraud Investment Adviser Real Estate Market SEC Settlement

Delaware Court of Chancery Finds Contract Rate Applies to Post-Judgment Interest

The Delaware Court of Chancery recently held that, in a case alleging breach of a loan agreement for more than $100,000, post-judgment interest accrues at the rate set forth in the agreement and not at the lower statutory...more

6/25/2014 - Breach of Contract Contract Rates Loan Agreements

Corporate and Financial Weekly Digest - Volume IX, Issue 25

In this issue: - Delaware Court of Chancery Rules That a Major Debt Holder and 48 Percent Stockholder Is a Controlling Stockholder and Owes Fiduciary Duties to Minority Stockholders - Delaware Court of Chancery...more

6/23/2014 - Compliance Controlling Stockholders Cross-Border Debt Debtors Disclosure Requirements FCMs Fiduciary Duty FINRA Fraud Investment Adviser Minority Shareholders Real Estate Market SEC Shareholder Litigation Shareholders 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

Corporate and Financial Weekly Digest - Volume IX, Issue 20

In this issue: - Delaware Supreme Court Upholds Fee-Shifting Bylaw - FINRA Proposes Changes to FINRA Rules 7410 and 2121 - CFTC Staff Announces Streamlined No-Action Relief Process for Certain...more

5/19/2014 - CFTC Commodity Pool CPO Criminal Prosecution Fee-Shifting Statutes FINRA Fraud White Collar Crimes

SEC Obtains Settlement for Violations of Registration Rules and “Layering”

The Securities and Exchange Commission recently announced a settlement with two brokerage firms and certain of their executives for improper compensation-sharing and “layering,” a strategy in which a trader places and later...more

4/17/2014 - Broker-Dealer Executive Compensation SEC Settlement Visionary

Foreign Judgment in Criminal Fraud Action Enforceable in New York

A New York Appellate Court held for the first time that a judgment issued by a foreign country’s criminal court awarding monetary compensation to a fraud victim is civil, not penal in nature, and therefore enforceable in New...more

4/16/2014 - Civil Monetary Penalty Crime Victims Criminal Prosecution

Corporate and Financial Weekly Digest - Volume IX, Issue 15

In this issue: - SEC Issues New FAQs on Conflict Minerals - SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule - FINRA Requests Comment on Rules Regarding...more

4/14/2014 - Broker-Dealer CFTC Collateralized Loan Obligations Conflict Mineral Rules FINRA Leverage Capital Ratio MTFs SEC Swaps

District Court Upholds SEC’s Partial Win in Bank Fraud Suit

The US District Court for the Southern District of Florida recently refused to reconsider its earlier decision granting partial summary judgment in favor of the Securities and Exchange Commission in a securities fraud case...more

2/12/2014 - Bank Fraud Banks Enforcement Actions SEC

SDNY Grants SEC’s Final Summary Judgment Claim in Securities and Investment Advisor Fraud Case

The US District Court for the Southern District of New York granted the Securities and Exchange Commission summary judgment on its one outstanding securities fraud claim against Alberto Vilar and Gary Tanaka, co-founders of...more

2/12/2014 - Enforcement Actions Fraud Investment Adviser SEC Securities Fraud Summary Judgment

Corporate and Financial Weekly Digest - Volume IX, Issue 6

In this issue: - SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - SEC Issues No-action Relief Regarding Registration of M&A Brokers - CFTC Issues Guidance on New...more

2/11/2014 - Alternative Investment Funds Bank Fraud Banks Brokers CFTC Due Diligence Exemptions Filing Requirements Fraud Investment Adviser Investment Funds No-Action Relief Private Placements Registration Rule 506 Offerings SEC Swap Dealers Swaps

Eleventh Circuit Upholds Directors’ Affirmative Defenses Based on FDIC’s Post-Receivership Conduct

The US Court of Appeals for the Eleventh Circuit recently issued the first appellate decision holding that, in actions brought by the Federal Deposit Insurance Corporation (FDIC), the officers and directors of failed banking...more

1/21/2014 - Affirmative Defenses Banks Directors FDIC Officers Professional Liability Receivership

Delaware Chancery Analyzes Scienter Requirement in Insider Trading Claim

In a derivative action alleging insider trading, the Delaware Court of Chancery recently held that demand was excused as futile where the stockholder plaintiff alleged that a majority of the corporation’s board members sold...more

1/21/2014 - Insider Trading Medicare Pharmaceutical Prescription Drugs Scienter

Corporate and Financial Weekly Digest - Volume IX, Issue 3

In this issue: - CFTC Issues No-Action Relief to FCMs Relating to Enhanced Customer Protection Rules - Eleventh Circuit Upholds Directors’ Affirmative Defenses Based on FDIC’s Post-Receivership Conduct -...more

1/20/2014 - Affirmative Defenses Banks CFTC Collateralized Debt Obligations Directors FCMs FDIC Insider Trading No-Action Relief OCC Professional Liability Receivership Scienter Trust Preferred Securities

Delaware Chancery Reviews Privilege for Mixed Business and Legal Advice

The Delaware Court of Chancery recently affirmed that communications in which legal advice predominates and cannot be segregated from business advice may be withheld under the attorney-client privilege....more

12/24/2013 - Attorney-Client Privilege Corporate Counsel

SEC Announces Enforcement Results for 2013

The Securities and Exchange Commission recently announced the results of its enforcement activities during fiscal year 2013. Most notably, the SEC disclosed that it filed 686 enforcement actions and recovered $3.4 billion in...more

12/24/2013 - Enforcement Enforcement Actions SEC

Second Circuit Says Injured Investors Lack Standing to Challenge Release of Fair Funds to US Treasury

The US Court of Appeals for the Second Circuit recently held that injured investors, who had already recovered some of their losses due to certain specialist firms’ “manipulative tactics,” lacked standing to challenge the...more

11/20/2013 - Investors Sarbanes-Oxley SEC Standing U.S. Treasury

Third Circuit Finds Delaware Chancery’s Arbitration Program Unconstitutional

A three-judge panel of the US Court of Appeals for the Third Circuit recently affirmed an injunction against the Delaware Court of Chancery’s arbitration program, finding that the confidential proceedings violate the First...more

11/19/2013 - Arbitration Confidentiality First Amendment

Admissions of Wrongdoing in SEC Settlement Lead to Ban From Managing Any New York Licensed Insurer

The New York State Department of Financial Services (DFS) recently announced that hedge fund advisor Philip Falcone (Falcone), and all employees of his firm Harbinger Capital Partners (Harbinger Capital), are banned for seven...more

10/17/2013 - Admissions of Liability Financial Services Authority Insurers SEC Settlement

Second Circuit Affirms Canadian Mining Company’s Victory in Securities Fraud Suit

A three-judge panel of the US Court of Appeals for the Second Circuit recently upheld the dismissal of a multidistrict class action against Canadian mining company Agnico-Eagle Mines Limited (Agnico) and its executives, who...more

10/16/2013 - Canada Fraudulent Concealment Mining Misrepresentation Shareholders

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

SEC Requires Admission of Wrongdoing as Part of Settlement

Reversing its longstanding policy, the Securities and Exchange Commission recently required hedge-fund adviser Philip Falcone and his firm Harbinger Capital Partners LLC (Harbinger) to admit multiple acts of misconduct in...more

9/3/2013

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