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Results: 1-10 of 426

Record sentence handed down in Sanders insider dealing case

  • Winston & Strawn LLP
  • -
  • United Kingdom
  • -
  • July 9 2012

On 19 June 2012 Mr. Justice Simon at Southwark Crown Court sentenced James Sanders, a director of the former UK brokerage firm Blue Index, to four years’ imprisonment after pleading guilty to 10 counts of insider dealing

Top-hat plan participants lose benefits after a sale of company

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 8 2011

One of the best ways to learn about new drafting and design strategies for plans and agreements is to read a lot of court cases - and learn from the mistakes of others

Ninth Circuit addresses non-party subpoenas

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 29 2011

On August 26th, the Ninth Circuit addressed the issue of which federal district court should determine whether to quash a non-party subpoena in an SEC enforcement action: the court in which the underlying action is brought or the court issuing the subpoena

Supreme Court reverses decision affecting period of eligibility for short-swing profit rule lawsuits

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

In a ruling likely to reassure public company officers and directors everywhere, the Supreme Court has reversed a Ninth Circuit ruling that threatened to extend indefinitely the two-year period in which corporate insiders may be sued under the “short-swing profits rule” of 16(b) of the Securities Exchange Act

Exceptions to Section 16(b)'s requirement that short-swing profits be disgorged

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 11 2012

On June 4th, the Court of Appeals for the Second Circuit addressed the previously acquired debt and the borderline exceptions to the application of strict liability requirement under Section 16(b) of the 1934 Act that statutory insiders disgorge short-swing profits

Federal district courts may issue anti-litigation orders in SEC receivership matters

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 21 2010

On June 15th, the Second Circuit held that district courts may issue anti-litigation injunctions barring bankruptcy filings as part of their broad equitable powers in the context of an SEC receivership

Indemnification

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 25 2010

On October 22nd, the D.C. Circuit addressed the Office of Thrift Supervision's director indemnification rules

Banking account arbitration agreement plays no role in securities fraud complaint

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 18 2012

On June 13th, the Massachusetts Federal District Court denied a motion to compel arbitration in a securities fraud lawsuit

Company agrees to pay $300,000 to resolve SEC charge over employee data breach

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 13 2013

Proxy advisor, Institutional Shareholder Services Inc. (ISS), recently agreed to pay a $300,000 fine arising out of a data breach after an SEC

SEC admonished for lax fair funds oversight

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 27 2012

On August 21st, the U.S. District Court for the Southern District of New York reluctantly approved Garden City Group's ("GCG") application for fees and expenses as the claims administrator for a $25 million SEC Fair Fund. In doing so, the Court admonished the SEC for its lax oversight of GCG