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OIG reports

Winston & Strawn LLP
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USA
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October 5 2009

On September 29th, the SEC Office of Inspector General released its "Review and Analysis of OCIE Examinations of Bernard L. Madoff Investment Securities, LLC."

FINRA releases report on regulatory failures

Winston & Strawn LLP
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USA
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October 5 2009

On October 2nd, the Financial Industry Regulatory Authority released the Special Review Committee of the FINRA Board of Governors' report on changes that should be instituted in light of recent regulatory failures

Request for guidance

Winston & Strawn LLP
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USA
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March 4 2013

According to SEC Actions, some 33 business and industry groups have written Assistant Attorney General Lanny Breuer and Acting SEC Director of

Deferential standard applied on appeal

Winston & Strawn LLP
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USA
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October 26 2009

On October 21st, United States Court of Appeals for the Seventh Circuit affirmed the dismissal of a securities fraud complaint

SAR Acknowledgements and Validation process update

Winston & Strawn LLP
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USA
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December 7 2009

On December 4th, the Financial Crimes Enforcement Network announced that, on December 12th, it will implement the second phase of the BSA E-Filing SAR Acknowledgements and Validation process

Fee disclosure requirements

Winston & Strawn LLP
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USA
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December 7 2009

On November 25th, the Second and Eighth Circuits released opinions on investment professionals' duties to disclose fee payments

Charges filed against Madoff's director of operations

Winston & Strawn LLP
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USA
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March 1 2010

On February 25th, the SEC filed civil charges against Daniel Bonventre for his involvement in Bernard Madoff's Ponzi scheme

SIPC trustee's definition of net equity adopted in Madoff case

Winston & Strawn LLP
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USA
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March 8 2010

On March 1st, the bankruptcy court overseeing the bankruptcy proceedings and SIPA liquidation of Bernard L. Madoff Investment Securities upheld the SIPC trustee's method for determining the net equity held by the victims of Madoff's fraud

Insider trading charges filed for the appropriation of information from Deloitte

Winston & Strawn LLP
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USA
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March 1 2010

On February 25th, the SEC filed settled insider trading charges against four individuals, John A. Foley, Aaron M. Grassian, Timothy L. Vernier, and Bradley S. Hale, for their roles in an alleged pattern of insider trading and tipping in the securities of four public companies that yielded illegal profits totaling $210,580.62

Securities fraud lawsuit dismissed

Winston & Strawn LLP
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USA
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May 17 2010

On May 11th, the US District Court for the Southern District of New York dismissed a securities fraud lawsuit that alleged that defendants' registration statement contained false and misleading statements

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