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Financial services update vol. 10, issue 12

  • Winston & Strawn LLP
  • -
  • European Union, United Kingdom, USA
  • -
  • March 30 2015

On March 19, 2015, Federal Reserve Governor Daniel Tarullo testified before the U. S. Senate Committee on Banking, Housing, and Urban Affairs at a

Financial services update Vol. 10, Issue 9

  • Winston & Strawn LLP
  • -
  • European Union, USA
  • -
  • March 9 2015

I recently had the opportunity to invest in individual shortterm real estate loans. Having devoted my current liquidity to a real estate

Financial services update Vol. 10, Issue 11

  • Winston & Strawn LLP
  • -
  • European Union, USA
  • -
  • March 23 2015

This edition focuses on corporate governance and its Related Issues. In particular, academics from the School of Accountancy at Singapore Management

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

Dismissal of securities fraud lawsuit against CBS Corp. is affirmed

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 14 2012

On May 10th, the Second Circuit affirmed the dismissal of securities fraud claims filed against CBS Corp. and certain officers and directors

Seventh Circuit affirms pro rata distribution of receivership assets

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 6 2010

On December 1st, the Seventh Circuit affirmed the approval of a receiver's plan to distribute the assets of a failed investment manager, finding that where a receivership trust lacks sufficient assets to fully repay investors and the investors' funds are commingled, a pro rata distribution plan is appropriate, and that the trial court properly rejected the objectors' arguments that their redemption requests made them creditors and not equity holders

Delaware Supreme Court reinstates derivatively brought insider trading case

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 27 2011

On June 20th, the Delaware Supreme Court held that a Delaware firm need not suffer actual harm to recover for its fiduciaries' insider trading under Brophy v. Cities Services Co

Aiding and abetting securities fraud is not a RICO predicate act

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • July 11 2011

On July 7th, the Second Circuit dismissed Racketeer Influenced and Corrupt Practices Act ("RICO") claims asserted by victims of Bernie Madoff's Ponzi scheme against the banks through which Madoff allegedly conducted his fraud

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

SEC aiding and abetting pleading standard clarified

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 13 2012

On August 8th, the Second Circuit issued an opinion authored by U.S. District Court Judge Jed S. Rakoff, sitting by designation, clarifying the pleading standard for SEC aiding and abetting cases