Dorsey & Whitney LLP

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

  • (612) 340-2600
  • (612) 340-2868

The Origins of the FCPA: Lessons for Effective Compliance and Enforcement: Part Two

The illicit or foreign payments cases - The preliminary inquiry was followed by formal SEC investigations early in 1974. The resulting cases would become known as the “illicit or foreign payments” cases. The focus of the…more
| Commercial Law & Contracts, International Law & Trade, Securities Law

European Union Sanctions Against Russia - September 2014 Expansion of Sanctions

As NATO and the EU seeks to increase pressure on Russia and the Crimea, the EU expanded its sanctions against Russia on 12 September. This is the latest in a series of measures introduced since March in response to the Ukraine…more
| Criminal Law, Finance & Banking, Insurance, International Law & Trade, Science, Computers, & Technology

This Week In Securities Litigation

The SEC continued with its “broken windows” approach to enforcement this week, filing a group of 34 actions based on the failure to file either a Form 4, Schedule 13D or Schedule 13G. The agency also filed an action alleging…more
| Finance & Banking, Securities Law

The SEC Gets Serious About Late Beneficial Ownership Reporting

On September 10, 2014, the Securities and Exchange Commission (“SEC”) announced charges against 28 directors, officers and significant shareholders of public companies for repeated failures to timely report their share ownership…more
| Civil Remedies, Finance & Banking, Securities Law

The SEC Continues “Broken Windows” – Is It Effective Enforcement?

Broken Windows is the enforcement strategy adopted by the SEC as part of its “prosecute every violation big and small” approach in an effort to create “omnipresence” – the feeling of a cop on every corner. It is supposed to…more
| Securities Law

SEC – USAO File Actions Based on Scheme To Conceal Ownership

Building on an undercover sting operation, the SEC filed an enforcement action against two individuals and their controlled entity. They are alleged to have conducted a business which helped shareholders conceal their ownership…more
| Business Organizations, Securities Law

The Origins of the FCPA: Lessons for Effective Compliance and Enforcement

Can one man make a difference? Stanley Sporkin is proof that the answer is “yes.” In the early 1970s he sat fixated by the Watergate Congressional hearings. As the testimony droned on about the burglary and cover-up, the…more
| Commercial Law & Contracts, Elections & Politics, International Law & Trade, Securities Law

Recent Oregon Decision: A Warning on Independent Contractor Classification

Do your “independent contractors” work from your company’s offices? Do they market their own separate businesses? Do they have the right to hire others to perform the work they perform for you? If the answer to any of these…more
| Labor & Employment Law

Second Circuit Limits CEA Private Actions Based On Morrison

In Morrison v. National Australia Bank Ltd., 561 U.S. 247 (2010) the Supreme Court delimited the reach of Exchange Act Section 10(b), concluding that the Section has no extraterritorial reach. Rather, the Section is confined to…more
| Civil Procedure, Constitutional Law, International Law & Trade, Securities Law

This Week In Securities Litigation

The Commission prevailed on summary judgment in an action against a broker which alleged he misappropriated client funds. The agency also filed actions centered on: an audit failure; the EB-5 immigration program; undisclosed…more
| Commercial Law & Contracts, Criminal Law, Business Torts, Immigration Law, Securities Law

Bitcoin – Haven In Hong Kong? - Part Ten

“Virtual currencies” in general, and bitcoin in particular, continue to attract media attention as well as intense public and regulatory scrutiny. The regulators seem to have realized that the bitcoin genie is out of the bottle…more
| Finance & Banking, International Law & Trade, Science, Computers, & Technology

The SEC Brings Another Case Centered on the EB-5 Immigration Program

The government’s EB-5 program is supposed to be a win win for everyone. For immigrants seeking admission to the United States it is supposed to provide a path to citizenship if the requirements, centered on the investment of…more
| Commercial Law & Contracts, Criminal Law, Finance & Banking, Immigration Law, Securities Law

SEC Proceedings Against IAs Center On Conflicts of Interest

Conflicts of interest are at the center of two administrative proceedings recently instituted by the SEC. One involved the failure to adequately disclose the conflict. The other focuses on a failure to institute appropriate…more
| Administrative Law, Commercial Law & Contracts, Finance & Banking, Securities Law

Revised ASBCA Rules Issued

Last month, the Department of Defense (“DOD”) issued a final rule updating the Defense Acquisition Regulations Supplement to revise the Rules of the Armed Services Board of Contract Appeal (“ASBCA”). The express intent of the…more
| Civil Procedure, Government Contracting

CEO, CFO Charged in SEC Financial Fraud Action

Since the formation of the financial task force, and its related data group, there has been speculation regarding the focus of the new program and the impact of big data techniques. One indication of how the program could unfold…more
| Civil Remedies, Commercial Law & Contracts, Finance & Banking, Business Torts, Securities Law
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Areas of Practice
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