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Company agrees to pay $300,000 to resolve SEC charge over employee data breach

Winston & Strawn LLP
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USA
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June 13 2013

Proxy advisor, Institutional Shareholder Services Inc. (ISS), recently agreed to pay a $300,000 fine arising out of a data breach after an SEC

Supreme Court grants certiorari in Sarbanes-Oxley whistleblower matter

Winston & Strawn LLP
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USA
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June 3 2013

On May 20th, the Supreme Court granted certiorari to address whether an employee of a privately-held contractor or subcontractor of a public company

Court accords deference to SEC whistleblower rules

Winston & Strawn LLP
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USA
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June 3 2013

On May 21st, the U.S. District Court for the Southern District of New York joined four other district courts in holding that the SEC's rules

Federal securities law preempts California's forced patronage statute

Winston & Strawn LLP
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USA
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April 15 2013

On April 9th, the Ninth Circuit affirmed the dismissal of four putative class action lawsuits filed against various broker-dealers. California state

Ninth Circuit affirms dismissal of Sarbanes-Oxley whistleblower case

Winston & Strawn LLP
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USA
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December 6 2010

On November 30th, the Ninth Circuit affirmed the Administrative Review Board's dismissal of a petitioner's Sarbanes-Oxley whistleblower claim as untimely

Good news on the CEO pay ratio requirement - maybe

Winston & Strawn LLP
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USA
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June 24 2011

On Wednesday, June 22, the House Financial Services Committee voted to recommend H.R. 1062, the "Burdensome Data Collection Relief Act," a bill that would eliminate the requirement in Dodd-Frank Act Section 953, that public companies calculate and disclose the ratio of the median of the annual total compensation of all employees of the company, except the CEO (including employees outside the US) to the annual total compensation of the company's CEO

Annual report of Office of Minority and Women Inclusion

Winston & Strawn LLP
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USA
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April 24 2012

On April 18th, the SEC released the annual report of its Office of Minority and Women Inclusion, responsible for the agency's "diversity in management, employment, and business activities"

Court addresses the Dodd-Frank Act's whistleblower provisions

Winston & Strawn LLP
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USA
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May 9 2011

On May 4th, the Southern District of New York addressed what appears to be an issue of first impression, the Dodd-Frank Act's whistleblower anti-retaliation provisions

Administrative proceedings filed for failing to supervise sale of PIPEs

Winston & Strawn LLP
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USA
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March 1 2010

On February 22nd, the SEC instituted settled administrative proceedings against Axiom Capital Management, Inc. for failing reasonably to supervise Gary J. Gross, a former Axiom registered representative

Arbitration panel exceeded its authority in awarding damages to former registered representatives

Winston & Strawn LLP
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USA
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March 1 2010

On February 22nd, the Fourth Circuit affirmed an order vacating an arbitration panel's award to registered representatives terminated by their employer, a broker-dealer

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