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Results: 1-10 of 275

Court limits Dodd-Frank Act whistleblower rule's reach

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 28 2013

On October 21st, a U.S. District Court addressed the extraterritorial reach of the Dodd-Frank Act's anti-retaliation provisions. Plaintiff, a former

Boston Scientific prevails in securities fraud lawsuit

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 22 2011

On August 15th, the First Circuit addressed what adverse events associated with medical devices an issuer must disclose, affirming the entry of summary judgment dismissing a Rule 10b-5 securities fraud lawsuit

Payments received by brokerages used in a fraudulent scheme cannot be avoided

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • September 20 2010

On September 14th, a Bankruptcy Court entered partial summary judgment in favor of defendants, brokerages through whom the debtor conducted a fraudulent stock lending scheme

Portfolio manager's insider trading conviction is affirmed

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 20 2012

On August 17th, the Second Circuit affirmed the conviction of Joseph Contorinis, a co-portfolio manager of the Jeffries Paragon Fund, on charges of insider trading and conspiracy to commit securities fraud

Summary judgment order dismissing securities fraud lawsuit against Oracle is affirmed

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • November 22 2010

On November 16th, the Ninth Circuit affirmed the entry of summary judgment dismissing plaintiffs' securities fraud lawsuit against Oracle and its executives

A broker may have a "trust relationship" with a client

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 14 2010

On June 8th, the Ninth Circuit affirmed defendants' convictions arising out of a securities fraud pump-and-dump scheme, but vacated the sentence

No evidence of gun manufacturer's scienter presented in 10b-5 claim

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 21 2012

On February 17th, the First Circuit affirmed the entry of summary judgment dismissing plaintiffs' Rule 10b-5 securities fraud claims

Second Circuit addresses the PSLRA's safe harbor provision

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 24 2010

On May 18th, the Second Circuit affirmed the dismissal of a class action securities fraud lawsuit alleging that defendants made misstatements regarding American Express' portfolio of junk bonds and collateralized debt obligations

SEC insider trading case is reinstated

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • September 10 2012

On September 6th, the United States Court of Appeals for the Second Circuit vacated the entry of summary judgment dismissing the SEC's insider trading claims

New FinCEN rules require mutual funds to file currency transaction reports

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 19 2010

On April 12th, the Financial Crimes Enforcement Network published new final rules replacing a requirement that mutual funds file IRSFinCEN Form 8300, Report of Cash Payments Over $10,000 Received in a Trade or Business, with a requirement to file FinCEN Form 104, Currency Transaction Report