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Read Finance & Banking Law updates, alerts, news, and legal analysis from leading lawyers and law firms:

Commercial Division Analyzes Choice-of-Law on an Element-by-Element Basis in Upholding Claim for Aiding and Abetting Breach of...

In Wantickets RDM, LLC v. Eventbrite, Inc., No. 654277/2016, 2017 BL 261099 (Sup. Ct. Jul. 21, 2017), New York Commercial Division Justice Shirley Werner Kornreich denied defendant Eventbrite’s motion to dismiss plaintiff...more

SEC Charges Advisory Firm to Sports Figures and Officers With Fraud

by Dorsey & Whitney LLP on

The SEC filed two actions centered on an advisory firm that serves on high net worth individuals, primarily current and former professional athletes. The actions are based on the theft of client funds and a failure to...more

SEC Sanctions D&T Auditor For Independence Violations

by Dorsey & Whitney LLP on

A now retired Deloitte & Touche LLP partner settled charges that he violated the auditor independence rules, engaged in improper professional conduct and caused a firm audit client to violate Exchange Act Section 13(a). The...more

SEC Names Recidivist, Claimed Country Music Fund Raiser, In Fraud Order

by Dorsey & Whitney LLP on

The Commission directed the institution of an administrative proceeding charging recidivist Stanley Jonathan Fortenberry, an unregistered fund adviser, with fraud in connection with the operation of a fund supposedly tied to...more

NHL Players Defrauded in Series of Investment Schemes

by Dorsey & Whitney LLP on

National Hockey League Players were the primary victims of a series of fraudulent investment schemes orchestrated by financial adviser Phillip Kenner and former professional race car driver Tommy Hormovitis. Collectively, the...more

Movie Production Loans Result In 27-Year Stay At The Greybar Hotel

by Allen Matkins on

In 2007, the Department of Corporations issued this Desist & Refrain Order against Mahmoud Karkehabadi and others for violations of the Corporate Securities Law of 1968. The Department also made a criminal referall to the...more

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