Dorsey & Whitney LLP

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

  • (612) 340-2600
  • (612) 340-2868

This Week In Securities Litigation (Week ending July 11, 2014)

The unblemished record of the Manhattan U.S. Attorney’s Office in insider trading cases came to an end this week with the acquittal of Rengan Rajaratnam, brother of the convicted Galleon Fund founder. This is the first loss…more
| Civil Procedure, Criminal Law, Business Torts, International Law & Trade, Securities Law

SEC Charges Auditor of PRC Firm With Unprofessional Conduct

The Commission filed another proceeding against an audit firm and its partners arising out of the audit of a PRC issuer. Unlike earlier actions involving audit firms for Chinese issuers, in this case the difficulties did not…more
| Finance & Banking, Mergers & Acquisitions, International Law & Trade, Securities Law

D.C. Circuit grants petition for mandamus and strongly reaffirms attorney-client privilege for internal investigations

The attorney-client privilege has long protected attorney-client communications made during the course of an internal investigation. Upjohn Co. v. United States, 449 U.S. 383 (1983). Of course, the privilege encourages “full and…more
| Civil Procedure, Commercial Law & Contracts, Government Contracting

DOL Issues Notice of Proposed FMLA Rule that Offers Equal Leave Rights to Same-Sex Spouses

On June 20, 2014, the U.S. Department of Labor (“DOL”) issued a notice of proposed rulemaking regarding the definition of “spouse” under the Family and Medical Leave Act (“FMLA”). If adopted, employees in same-sex marriages will…more
| Civil Procedure, Civil Rights, Constitutional Law, Labor & Employment Law, Family Law

Quirky Question #233, The Regular Rate: Where Math and Law Collide

Question: We operate a warehouse in Minnesota where the employees work two weeks on / two weeks off. They work 10 hours per day, 7 days per week when they’re on at an hourly rate of $30. The employees also ordinarily…more
| Labor & Employment Law

SEC’s First Action Under the Municipalities Continuing Disclosure Cooperation Initiative

The SEC settled its first action under the Municipalities Continuing Disclosure Cooperation Initiative, launched on March 10, 2014. Under the Initiative the Enforcement Division agreed to recommend settlement on favorable,…more
| Commercial Law & Contracts, Education, Finance & Banking, Securities Law

SEC Issues Guidance on Determination and Verification of Accredited Investor Status

On July 3rd, the SEC issued guidance in the form of six new compliance and disclosure interpretations regarding accredited investor status. Two of the C&DIs relate to the calculation of income and assets for purposes of…more
| Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

SEC Charges Tied to the Lack of An Algorithm

High speed trading and the use of algorithms is a key topic of debate. An investment strategy centered on an algorithm for use in the currency markets is at the center of a settled administrative proceeding filed by the…more
| Finance & Banking, Business Torts, Securities Law

SEC Settles FCPA Action On The Eve of Trial

The SEC was about to try its first FCPA case. Then the Commission settled, agreeing to drop the bribery charges as well as its demand for monetary sanctions. That ended the case against two Nobel Corporation executives SEC v…more
| Civil Remedies, Commercial Law & Contracts, International Law & Trade, Securities Law

Impact of the Supreme Court’s Hobby Lobby Stores Decision

On June 30, 2014, in Hobby Lobby Stores, the Supreme Court held that corporations are persons for purposes of the Religious Freedom Restoration Act (“RFRA”) and, as a result, if a corporation has a sincerely held religious…more
| Commercial Law & Contracts, Constitutional Law, Labor & Employment Law, Health

This Week In Securities Litigation (Week ending July 3, 2014)

In a holiday shortened week, dark pools were again a focus for regulators. This week FINRA sanctioned Goldman Sachs in connection with the operation of its dark pool…more
| Administrative Law, Civil Procedure, Commercial Law & Contracts, International Law & Trade, Securities Law

State Funded Projects in Minnesota Now Require Use of “American-made steel”

On May 20, 2014, the Minnesota governor signed into law H.F 2490, ch. 294, article 2, sec. 22, 2013 Minn. Laws (the “Act”), which generally provided for appropriations for capital improvements for a range of projects, including…more
| Elections & Politics, Government Contracting

SEC Prevails in Eleventh Circuit

The SEC prevailed in an appeal of a financial fraud action. SEC v. Monterosso, Nos. 13-10341, 13-10342, 13-10464 (11th Cir. Opinion June 30, 2014). A key issue in the case is the application of the Supreme Court’s decision in…more
| Civil Procedure, Civil Remedies, Finance & Banking, Business Torts, Securities Law

Anti-Bribery and Corruption Compliance Practices

Compliance Week published its 2014 Anti-Bribery and Corruption Benchmarking Report, a survey of over 180 executives involved in ethics and FCPA compliance and internal audit. The Survey focused on risk, dealing with third…more
| Antitrust & Trade Regulation, Commercial Law & Contracts, International Law & Trade

Supreme Court Rejection of Duty of Prudence Presumption—What Does it Mean for Retirement Plans?

On June 25, 2014, the Supreme Court, in a unanimous decision, ruled in Fifth Third Bancorp v. Dudenhoeffer that there is no “presumption” of prudence extended to fiduciaries of employer stock ownership plans (“ESOPs”) in their…more
| Civil Procedure, Commercial Law & Contracts, Labor & Employment Law, Business Torts, Securities Law
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