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Results: 1-10 of 355

Sarbanes-Oxley protects employee who implicates supervisor

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 6 2013

On May 1st, the U.S. District Court for the Southern District of New York addressed an issue of first impression under the whistleblower provisions

If you thought the IRS would not punish 409A foot faults, think again

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

The result in the case Sutardja v. U.S., decided by the United States Court of Federal Claims last month is not surprising. We all understood the

Ten year officer and director bar affirmed

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 20 2013

On May 14th, the Second Circuit affirmed the ten year officer and director ban imposed against Brent Bankosky, a senior director at Takeda

Court lacks jurisdiction to hear market data fee challenges

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 6 2013

On April 30th, the D.C. Circuit Court dismissed a petition challenging the non-core market data fees charged by various stock exchanges. The Court

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

D.C. Circuit won't hear resource extractor rule challenge

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 29 2013

On April 26th, the D.C. Circuit dismissed a petition seeking to invalidate the SEC's resource extractor disclosure rules. Petitioners brought

SLUSA doesn't preclude variable annuitants' breach of contract claims

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 7 2013

On January 2nd, the Ninth Circuit partially reinstated contract claims asserted by purchasers of variable universal life insurance policies

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

Federal securities law preempts California's forced patronage statute

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 15 2013

On April 9th, the Ninth Circuit affirmed the dismissal of four putative class action lawsuits filed against various broker-dealers. California state

Insider trading settlement conditionally approved

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 22 2013

On April 16th, U.S. District Court Judge Victor Marrero thoughtfully explained why he has conditionally approved the SEC's proposed $600 million

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