Dorsey & Whitney LLP

Internal Investigations and Cooperation Credit in FCPA Investigations

Cooperation credit and conducting internal investigations were key themes in recent remarks by Assistant Attorney General Leslie Caldwell at New York University Law School’s Program on Corporate Compliance and Enforcement (April…more
| Commercial Law & Contracts, Criminal Law, International Law & Trade

This Week In Securities Litigation

Microcap fraud, misappropriation by investment advisers and offering fraud cases were the focus of SEC enforcement this week. The Commission filed a microcap fraud action centered on blank check companies involving ten…more
| Criminal Law, Finance & Banking, Business Torts, International Law & Trade, Securities Law

Full Steam Ahead for the Through-Train – The Shanghai-Hong Kong Stock Connect, Part One

The Shanghai-Hong Kong Stock Connect (the “Stock Connect”), a pilot program for establishing mutual stock market access between Mainland China and Hong Kong, was announced in April 2014 by Premier Li Keqiang at the Boao Forum…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

SEC Files Financial Fraud Action Against Japan Based Controller

The Commission filed a financial fraud action against a former senior accounting officer and controller of Molex Japan Co., Ltd., the Japanese based subsidiary of publically traded Molex Inc. The scheme, which took place in…more
| Administrative Law, Business Organizations, Finance & Banking, International Law & Trade, Securities Law

SEC Files Offering Fraud and Ponzi Scheme Cases

A staple of SEC enforcement in recent years has been offering fraud and Ponzi scheme cases. This week the Commission filed two more of these actions, one an offering fraud targeting military personnel and a second and investment…more
| Administrative Law, Business Organizations, Finance & Banking, Business Torts, Securities Law

SEC Files Offering Fraud Action

The Commission filed another offering fraud action tied to the sale of interests in the development of oil and gas wells prior to the recent downturn in the price of oil. Beginning in 2010 the defendants raised about $4.4…more
| Administrative Law, Energy & Utilities, Finance & Banking, Business Torts, Securities Law

Insider Trading: Does Payton Begin the Erosion of the Newman Tipping Test?

The Second Circuit’s decision in U.S. v. Newman, 773 F. 3d 438 (2nd Cir. 2014) regarding the personal benefit test in insider trading either radically altered the law or just reaffirmed the Supreme Court’s decision in Dirks v…more
| Civil Procedure, Criminal Law, Business Torts, Securities Law

This Week In Securities Litigation

The SEC filed another FCPA action, this time against the company that financed a “world tour” as part of the bribes paid by employees to secure business. Previously, the Commission filed an action against the employees…more
| Administrative Law, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Quirky Question #258, Ex Pat Trailing Partners

Question: Fred, one of our technical IT specialists, just told us that his partner volunteered for a European assignment. Fred’s a great guy and we need him but he earns less than his partner and wants the experience of…more
| Labor & Employment Law, International Law & Trade, Science, Computers, & Technology

SEC Files Fraud Action Tied To Sale of Cellular Licensing

The sale of spectrum to operate cell phones can yield millions of dollars in profits. This notion was at the center of an action brought by the SEC against six individuals and eleven entities. Investors who purchased interests…more
| Administrative Law, Communications & Media Law, Finance & Banking, Business Torts, Securities Law

The SEC on Capital Formation: Graded Incomplete – Commissioner Gallagher

Last year the IPO market was overheating – a record number of initial offerings were conducted. Nevertheless, SEC Commissioner Daniel Gallagher gives the SEC a grade of “incomplete” in the area of capital formation in recent…more
| Administrative Law, Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

The SEC’s New Whistleblower Action: Is It Counterproductive?

The SEC brought its first enforcement action centered on corporate restrictions which could impact employee whistleblowers, deterring them from reporting to the agency…more
| Administrative Law, Business Organizations, Commercial Law & Contracts, Labor & Employment Law, Securities Law

This Week In Securities Litigation

The Second Circuit rejected a petition for rehearing by the U.S. Attorney’s Office in the Newman case. There the Court reversed and dismissed the insider trading actions against two traders based on the failure of the court to…more
| Administrative Law, Criminal Law, Business Torts, International Law & Trade, Securities Law

PTAB is Revising the AIA rules

On March 27, 2015, U.S. Patent and Trademark Office (“USPTO”) Director Michelle Lee announced on the agency’s website that a three-phase rule change for improving Patent Trial and Appeal Board (“PTAB”) trial proceedings is in…more
| Administrative Law, Intellectual Property

SEC Fines KBR $130,000 for Using Employee Confidentiality Agreement that Violates Dodd-Frank Whistleblower Protections

The Securities and Exchange Commission (“SEC”) has brought its first-ever enforcement action against a company for using language in confidentiality agreements that prohibits employees from speaking with the SEC without prior…more
| Administrative Law, Business Organizations, Commercial Law & Contracts, Labor & Employment Law, Securities Law
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50 South Sixth Street Suite 1500
Minneapolis, MN 55402-1498, United States

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