We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 395

Independent consultant reports required by SEC consent decrees are private

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 4 2013

On February 1st, the D.C. Circuit reversed a district court order that would have given a reporter access to an independent consultant's reports

Pleading loss causation when the securities are privately offered

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • November 5 2012

On November 1st, the U.S. District Court for the Eastern District of Virginia denied defendants’ motion to dismiss plaintiff’s state and federal securities fraud lawsuit

Second Circuit schedules oral argument on SEC-Citigroup settlement

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 26 2012

On March 19th, the Second Circuit issued a scheduling order in the SEC's and Citigroup Global Markets, Inc.'s appeal of U.S

SEC applied proper standard when reviewing NASD disciplinary proceedings

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

On February 17th, the Ninth Circuit dismissed a petition challenging the SEC's affirmance of a NASD disciplinary proceeding

Fourth Circuit addresses arbitrability issues

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 14 2011

On February 10th, the Fourth Circuit addressed an issue regarding arbitration procedure and held that an appeal on the issue of arbitrability divests the district court of jurisdiction over the underlying claims and requires a stay of the action, unless the district court certifies the appeal as frivolous or forfeited

Ninth Circuit affirms securities fraud related money laundering conviction

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 6 2010

On December 3rd, the Ninth Circuit addressed whether the U.S. Supreme Court's decision in U.S. v. Santos, which discussed money laundering under 18 U.S.C. 1956, applies to a money laundering case brought under Section 1957

Lack of knowledge removes control person liability but imputed knowledge raises Rule 10b-5 liability

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 25 2013

On February 22nd, the Third Circuit partially reinstated securities fraud and state law unfair trading practices claims asserted by investors against

Court lacks jurisdiction to hear market data fee challenges

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 6 2013

On April 30th, the D.C. Circuit Court dismissed a petition challenging the non-core market data fees charged by various stock exchanges. The Court

Judicial challenges to Dodd-Frank rules considered

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 1 2011

On July 29th, the Wall Street Journal reported that financial industry and business groups are considering judicial challenges to the rules implementing the Dodd-Frank Act

Securities fraud lawsuit dismissed

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 23 2010

On August 16th, a federal district court dismissed a putative class action securities fraud complaint alleging that defendants made material misrepresentations about the adequacy of a subsidiary's loss reserves and the quality of its loan portfolio