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Results: 1-10 of 414

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

Upper Tribunal upholds FCA decision to find Ian Hannam guilty of market abuse

  • Winston & Strawn LLP
  • -
  • United Kingdom
  • -
  • June 3 2014

On 27 May 2014, the Upper Tribunal upheld the FCA decision that Ian Hannam, former Chairman of Capital Markets at JP Morgan Cazenove, had engaged in

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

SIPC trustee may investigate MF Global

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • November 14 2011

On November 4th, the Federal Bankruptcy Court granted the SIPC Trustee's motion to establish procedures for the issuance of subpoenas for document production and depositions in connection with the SIPC Trustee's independent investigation into the business and affairs of MF Global

Misrepresentations in stock purchase agreements constitute securities fraud

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • September 20 2010

On September 14th, a federal district court held that a defendant who misrepresents his trading activity prior to signing stock purchase agreements ("SPAs") in private investments in public offerings ("PIPEs") of stock commits securities fraud

New York State law does not recognize "holder" claims

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 7 2010

On May 27th, a New York Appellate Court considered whether New York state law recognizes a claim for fraudulent inducement to hold, rather than sell, stock

Solicitor General and SEC submit joint brief in transnational securities fraud case

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • November 2 2009

On October 27th, the U.S. Solicitor General and the SEC jointly filed an amicus brief in the Supreme Court recommending that the Court not grant a petition for certiorari in Morrison v. National Australia Bank Ltd., Docket No. 08-1191, in which foreign private investors sued in the United States. a foreign issuer who allegedly violated U.S. securities laws

Chicago Board Options Exchange, Inc. v International Securities Exchange, LLC, No. 2011-1267 (Fed Cir. May 7, 2012)

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 31 2012

A claim using the word “means” is presumed to be a means-plus-function claim unless the claim includes a specific and definite structure, and repeated derogatory statements in the specification are construed as a disavowal of claim scope

Second Circuit addresses Williams Act disclosure requirements

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • July 25 2011

On July 18th, the Second Circuit again addressed the attempted hostile takeover of CSX Corporation

SEC bar order vacated

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 17 2013

On June 11th, the D.C. Circuit vacated the SEC's order barring petitioner from the securities industry. FINRA, as successor to the NASD, found that