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Results: 1-10 of 86

Sarbanes-Oxley whistleblower protections cover employees of a public company’s private contractors

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • March 25 2014

On March 4, 2014, the United States Supreme Court, in a 6-3 decision, expanded the protections offered to whistleblowers under anti-fraud laws, in

Second Circuit upholds SEC’s authority to obtain disgorgement from non-trading insider profits earned by portfolio fund from insider trading

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • March 12 2014

In SEC v. Contorinis, 2014 U.S. App. LEXIS 2927 (2d Cir. Feb. 18, 2014), the United States Court of Appeals for the Second Circuit upheld the

Second Circuit holds that federal common law prohibits trading by insiders of a Cayman Islands corporation while in possession of material nonpublic information

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • Cayman Islands, USA
  • -
  • February 4 2014

In Steginsky v. Xcelera Inc., Nos. 13-1327-cv, 13-1892-cv, 2014 WL 274419 (2d Cir. Jan. 27, 2014), the United States Court of Appeals for the Second

Second Circuit affirms dismissal of short-swing profit claim against Goldman Sachs arising from six-month call options

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • February 4 2014

In Roth v. The Goldman Sachs Group, Inc., No. 12-2509-cv, 2014 WL 305094 (2d Cir. Jan. 29, 2014), the United States Court of Appeals for the Second

Dodd-Frank whistleblower protection: for America only

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • November 13 2013

The U.S. District Court for the Southern District of New York has held that the whistleblower protection provisions of the Dodd-Frank Act do not

Second Circuit applies Morrison to criminal prosecution under Section 10(b) and Rule 10b-5

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • October 23 2013

In United States v. Vilar, Case Nos. 10-521(L), 10-580(CON), 10-4639(CON), 2013 WL 4608948 (2d Cir. Aug. 30, 2013), the United States Court of

Second Circuit affirms dismissal of suits brought by Madoff trustee against banks accused of aiding Madoff fraud

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • July 2 2013

In In re Bernard L. Madoff Investment Securities LLC, Nos. 11-5044, 11-5051, 11-5175, 11-5207, 2013 WL 3064848 (2d Cir. June 20, 2013), the United

Second Circuit reaffirms continued use of the "knowing possession" causation standard in Rajaratnam insider trading case

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • June 28 2013

In United States v. Rajaratnam, No. 11-4416-CR, 2013 U.S. App. LEXIS 12885 (2d Cir. June 24, 2013), the United States Court of Appeals for the Second

A rising voice on FCPA compliance: the court

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • June 6 2013

One FCPA compliance topic we are often asked about by clients is how government investigations start. The U.S. Department of Justice (DOJ) and the

Second Circuit holds that allegations of direct fraudulent representations are necessary for market manipulation claims under Section 10(b) and Rule 10b-5

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • May 24 2013

In Fezzani v. Bear, Stearns & Co., Inc., No. 09-4414-cv, 2013 WL 1876534 (2d Cir. May 7, 2013), a 2-1 majority of a panel of the United States Court