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Results: 1-10 of 429

SEC appellate brief

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • November 12 2012

The SEC posted its brief before the Third Circuit in support of a jury's verdict finding that defendants violated the Securities Exchange Act of 1934’s (the "Exchange Act") antifraud and shareholder reporting provisions by intentionally misrepresenting the extent and purpose of their beneficial ownership of shares, and supporting the district court's order to disgorge profits from selling those shares

ALJ rules on the effect of asserting the attorney-client privilege

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • November 12 2012

On November 2nd, a SEC Administrative Law Judge issued an evidentiary ruling concerning the scope of the attorney-client privilege and the effect of its assertion

Jury returns mixed verdict in reserve primary fund case

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • November 19 2012

On November 12th, the New York Times reported a jury has returned a mixed verdict in the SEC's trial against Bruce Bent and his son Bruce Bent II, Reserve Management Company Inc., and Reserv Partners Inc

Rajat Gupta's motion to suppress wiretaps is denied

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 2 2012

On March 27th, the U.S. District Court denied Rajat Gupta's motion to suppress wiretap evidence in his insider trading prosecution

Section 16(b) claims and the statute of limitations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 2 2012

On March 26th, the Supreme Court held that the two-year time limit for bringing an action under Section 16(b) of the Securities Exchange Act, for prohibited short-swing profits, begins at the time the profit is realized

The US Supreme Court has decided to extend the scope of whistleblower protections available under the 2002 Sarbanes Oxley wall street reform law.

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 11 2014

The Court has recommended that whistleblower protections (which prohibit retaliation against employees who report fraud) should be made available

Another reason to settle without admitting or denying liability

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

On August 27th, the United States Court of Appeals for the Ninth Circuit reversed and remanded defendant's conviction for selling unregistered securities in violation of Rule S-8 of the Securities Act

Insights from Winston & Strawn

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

With the passage of time, more and more of the litigation arising out of the financial crisis are coming to a close

Diamond food securities fraud lawsuit moves forward

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

On November 30th, a U.S. District Court denied motions to dismiss securities fraud claims brought against Diamond Foods and two of its executives

Ratings agencies win mortgage-backed securities suit

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

On December 3rd, the Sixth Circuit affirmed the dismissal of state law claims brought against various credit rating agencies