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Financial services update September 8 2014 judicial developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • September 8 2014

On September 5th, the Eleventh Circuit affirmed the denial of the motion to dismiss filed by Michael Boudreaux, former Budget Director for the City

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

Supreme Court rules that Sarbanes-Oxley protects whistleblowers of private contractors

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 6 2014

On March 4, the U.S. Supreme Court ruled 6 to 3 that the anti-retaliation provision of the Sarbanes-Oxley Act (SOX) protects whistleblowers employed

Financial services update September 15 2014 judicial developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • September 15 2014

Dow and several foreign banks created partnerships that generated over one billion dollars in tax deductions for Dow. The partnerships allocated the

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

Unresolved issues in mutual fund insider trading case require remand

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

On July 22nd, the Seventh Circuit vacated, reversed, and remanded the district court's entry of summary judgment in favor of the SEC in its insider

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

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

Delaware Court of Chancery applies business judgment rule to controlling stockholder going-private transaction

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 5 2013

On May 29, 2013, in the case of In Re MFW Shareholders Litigation, Chancellor Leo Strine of the Delaware Court of Chancery held that controlling

Court affirms SEC's late trading findings

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

On August 8th, the Second Circuit affirmed a Commission order finding that a former stockbroker willfully violated the antifraud and recordkeeping provisions of the Exchange Act by orchestrating a mutual fund late trading scheme and by aiding and abetting and causing his firm to keep inaccurate books and records