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Financial services update February 17 2015 judicial developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 17 2015

On February 10th, the Ninth Circuit considered the meaning of the term “Capital Treatment Event” as used in the indenture for certain trust preferred

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

"Delaware carve-out" does not exempt mutual fund shareholders' lawsuit from SLUSA

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • September 12 2011

On September 8th, the Sixth Circuit affirmed the dismissal of a state-law class action filed by mutual-fund shareholders against various fund affiliates

What constitutes a domestic transaction in securities?

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 5 2012

On March 1st, the Second Circuit addressed whether foreign funds' purchases and sales of unlisted securities issued by U.S. companies brokered through a U.S. broker-dealer constitute "domestic transactions" under Morrison v. National Australia Bank Ltd., 130 S. Ct. 2869 (2010

The limits of short-swing profits liability

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 14 2013

On January 7th, the Second Circuit held that Securities Exchange Act Section 16(b) liability for short-swing profits does not attach when a corporate

Standing and Exchange Act Section 16(b)

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 8 2012

On October 1st, the Second Circuit addressed Constitutional standing under Section 16(b) of the Securities Exchange Act of 1934

SEC brings litigation for the alleged failure to disclose perks

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 15 2011

Earlier this week, the SEC charged a company and its current and former executives with failing to disclose to investors more than $1.18 million in perks paid to the former CEO over a six-year period

Variable annuity holder has standing to bring excessive fee claim

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 1 2012

On September 25th, a Federal District Court denied AXA Equitable Life's motion to dismiss

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

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