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Results: 1-10 of 27

Second Circuit upholds decision that section 10(b) of the Securities Exchange Act has limited extraterritorial applicability.

  • Baker & McKenzie
  • -
  • USA
  • -
  • January 29 2015

Plaintiff Hedge Funds entered into domestic securities-based swap agreements referencing Volkswagen AG (“VW”) shares. The swap agreements gave the

SOX whistleblower protection extended to private contractors

  • Baker & McKenzie
  • -
  • USA
  • -
  • December 26 2014

On March 4, 2014, the U.S. Supreme Court ruled in Lawson v. FMR LLC that the Sarbanes-Oxley Act's ("SOX") whistleblower protection extends to

Favorable employer trends under SOX jurisprudence

  • Baker & McKenzie
  • -
  • USA
  • -
  • December 26 2014

On February 12, 2014, in Villanueva v. United States Department of Labor, the Fifth Circuit Court of Appeals held that in order to engage in

U.S. District Courts hold that Dodd-Frank whistleblower protections do not apply retroactively

  • Baker & McKenzie
  • -
  • USA
  • -
  • December 26 2014

In February of this year, a U.S. District Court in New York held that the whistleblower protections under Dodd-Frank Act do not apply retroactively

Federal courts are gravitating towards the Administrative Review Board’s interpretation of protected conduct under SOX

  • Baker & McKenzie
  • -
  • USA
  • -
  • December 26 2014

On February 24, 2014, in Stewart v. Doral Financial Corp., the San Juan District Court denied the employer's motion to dismiss SOX claims and applied

Second Circuit rules that a forum selection clause can trump the FINRA rule requiring arbitration

  • Baker & McKenzie
  • -
  • USA
  • -
  • November 28 2014

The Financial Industry Regulatory Authority (“FINRA”), which regulates U.S. securities firms, has a rule that its members “must arbitrate a dispute”

Clients & friends newsletter September 2014

  • Baker & McKenzie
  • -
  • Belgium, China, New Zealand, Saudi Arabia, United Kingdom, USA, Venezuela
  • -
  • September 30 2014

In an unfortunate decision, the Brussels Court of Appeals has upheld a decision by a lower court denying the deductibility of stock option costs

A cautionary tale regarding the use of “confidential witnesses” in pleadings

  • Baker & McKenzie
  • -
  • USA
  • -
  • September 24 2014

On August 21, 2014, Ruben Castillo, Chief Judge of the U.S. District Court for the Northern District of Illinois, issued an 18-page opinion on the

Ninth Circuit holds announcement of an investigation, without more, is insufficient to establish loss causation in securities fraud case

  • Baker & McKenzie
  • -
  • USA
  • -
  • September 24 2014

On September 11, 2014, the Ninth Circuit published its amended opinion in John Loos v. Immersion Corp. et al., No. 12-15100 (9th Cir. 2014), holding

In a Section 10(b) Exchange Act case, the U.S. Court of Appeals for the Second Circuit affirmed dismissal of claims filed by the U.S. and foreign investors who purchased stocks on a foreign exchange, even though the stocks were cross-listed in the U.S. an

  • Baker & McKenzie
  • -
  • USA
  • -
  • July 29 2014

Plaintiffs were purchasers of shares of UBS stock who alleged that, beginning with the 2006 launch of an internal hedge fund (Dillon Read Capital