Dorsey & Whitney LLP

50 South Sixth Street Suite 1500
Minneapolis, MN 55402-1498, United States

  • (612) 340-2600
  • (612) 340-2868

SEC Brings Another Offering Fraud Case

The Commission filed another in what appears to be an unending series of offering fraud actions. Unlike many of its prior cases, this action centers on a Respondent who kept shifting his scheme to continually raise more money at…more
| Civil Remedies, Commercial Law & Contracts, Finance & Banking, Business Torts, Securities Law

This Week In Securities Litigation

The Commission prevailed in three litigated decisions. The agency secured a favorable jury verdict in an action centered on an offering fraud. In two other cases — one based on misrepresentations regarding the only company…more
| Commercial Law & Contracts, Criminal Law, Business Torts, International Law & Trade, Securities Law

US China Trade War-Developments In Trade, Trade Adjustment Assistance, Customs, IP/337, Antitrust And Securities

There have been major developments in the trade, trade adjustment assistance, Trade Agreements, Customs, 337/IP, US/Chinese antitrust, and securities areas. TRADE PROTECTIONISM INCLUDING UNFAIR TRADE CASES DO NOT WORK…more
| Antitrust & Trade Regulation, Commercial Law & Contracts, Intellectual Property, International Law & Trade

Wells Fargo Compliance Officer Charged With Altering Document

The acquisition of Burger King by 3G Capital Partners is the matter that just keeps on giving – at least for SEC enforcement. Initially, the Commission brought an action against Wells Fargo broker Waldyr Da Silva Prado Neto, who…more
| Administrative Law, Finance & Banking, Business Torts, Securities Law

The Second Time Around Analyst Is Charged With Insider Trading

The second time around proved to be the undoing of a senior financial analyst at a pharmaceutical company identified only as Pharma Co. Two years ago he supposedly furnished material non-public information about a proposed…more
| Commercial Law & Contracts, Criminal Law, Securities Law

OSHA Updates Reporting and Recordkeeping Rules

OSHA has updated its reporting and recordkeeping rules for employers. The key item to note is that all employers (regardless of size or number of employees) must now report serious workplace injuries involving hospitalization…more
| Labor & Employment Law

SEC Charges E*Trade Subs: When Is the Due Diligence Sufficient?

Having the correct compliance procedures in place can often be critical. The SEC and the DOJ have repeatedly emphasized this in FCPA cases. Conducting due diligence can be equally critical. For gatekeepers such as lawyers,…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

SEC Wins Summary Judgment Ruling In Ponzi Scheme Case

The Commission prevailed in an investment fund scheme action, obtaining a favorable summary judgment ruling. In reaching its conclusion the Court rejected claims that the action was time barred and that the cause of action was…more
| Finance & Banking, Securities Law

Quirky Question #243 – More on Breach Notification Laws

Quirky Question: Can you tell me what has been happening in California regarding breach notification laws? Answer: Continuing the trend of changes in state breach notification and related laws, Cal. A.B…more
| Privacy, Science, Computers, & Technology

California Privacy Laws Change: Identity Theft and Mitigation Services

Continuing the trend of changes in state breach notification and related laws, Cal. A.B. 1710 amends California’s breach notification, security procedures, and Social Security number (SSN) laws in the wake of significant data…more
| Consumer Protection, Privacy, Science, Computers, & Technology

This Week In Securities Litigation

The Fifth Circuit decided a significant case on loss causation. The Court concluded that the truth could emerge from a series of disclosures which, in and of themselves were not sufficient to uncover the fraud, but which when…more
| Civil Remedies, Finance & Banking, Business Torts, Securities Law

SEC Brings Another ATM Based Ponzi Scheme Case

Ponzi and investment scheme cases are a staple of SEC enforcement in the post Madoff world. Emerging, however, may be a new trend based on a subset of these frauds – investments in ATM machines. At the close of last month the…more
| Finance & Banking, Business Torts, Securities Law

California Privacy Laws Change: Identity Theft Prevention and Mitigation Services

Continuing the trend of changes in state breach notification and related laws, Cal. A.B. 1710 amends California's breach notification, security procedures, and Social Security number (SSN) laws in the wake of significant data…more
| Commercial Law & Contracts, Consumer Protection, Privacy, Science, Computers, & Technology

The Origins of the FCPA - Lessons for Effective Compliance and Enforcement - Conclusion

This is the final part of an occasional series. The entire paper will be published by Securities Regulation Law Journal early next year. Conclusion: The FCPA Today - The FCPA was unique in the world at passage. It…more
| Commercial Law & Contracts, International Law & Trade, Securities Law

Survival of Non-Binding LOI Provisions Does Not Make Them Binding

On September 30, 2014, the Delaware Supreme Court reversed a jury verdict finding that ev3, Inc. breached its contractual obligation to the shareholders of Appriva Medical, Inc., a company purchased by ev3. In ev3, Inc. v Lesh,…more
| Commercial Law & Contracts, Mergers & Acquisitions, Securities Law
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Areas of Practice
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100+ Attorneys

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