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Financial services update July 14 2014 industry news

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • July 14 2014

On July 11th, Reuters noted that the July 8, 2014 acquittal of Rengan Rajaratnam, the younger brother of convicted insider trader Raj

Financial services update April 21 2014 feature

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 21 2014

On the last day of March, SEC Chair Mary Jo White gave the keynote speech at the SIFMA Compliance & Legal Society Annual Seminar. The speech extolled

U.S. Federal Court dismisses SEC civil suit against Siemens executive for lack of jurisdiction

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 26 2013

A federal district court judge in New York dismissed the SEC's civil suit against the former CEO of Siemens' Argentinian subsidiary, Herbert Steffen

FCPA enforcement comes under criticism before House of Representatives Task Force

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • July 3 2013

At a hearing before the newly created Over-Criminalization Task Force, two of the four witnesses focussed on FCPA enforcement. The criticism included

SEC's insider trading charges survive summary judgment

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 11 2013

On March 5th, a U.S. District Court denied the motion for summary judgment filed by Mark Cuban, the owner of the Dallas Mavericks, in an SEC

Request for guidance

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • 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

Financial services update November 25 2013 judicial developments

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

On November 15th, the Third Circuit affirmed the dismissal of a putative class action securities fraud lawsuit for failure to adequately plead

Financial services update November 25 2013 Securities and Exchange Commission

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

On November 21st, the Securities and Exchange Commission ("SEC") published its report to Congress on the independence of credit rating agencies. The

OIG reports

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • 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."

Sixth Circuit affirms dismissal of securities fraud complaint

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 4 2010

On December 22nd, the Sixth Circuit affirmed the dismissal of a class action securities fraud complaint