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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

Court enforces SEC's administrative subpoena

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 12 2009

On October 8th, the Second Circuit, in a summary opinion, affirmed an order enforcing an SEC administrative subpoena issued as a result of public disclosures made by respondent's former employer based on allegedly privileged and misappropriated information

Is the Supreme Court poised to reject FERC's market manipulation cases?

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • November 21 2014

Last week, two U.S. Supreme Court Justices signaled that they are seeking a case to address whether courts must defer to an agency's interpretation

Pre-suit demand required in RICO derivative action

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 1 2013

On March 28th, the Eighth Circuit affirmed the dismissal of a shareholder derivative lawsuit which alleged that the fiduciaries to an investment fund

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

IPO underwriter is not the issuer's fiduciary

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

On December 8th, the New York state appellate court affirmed the entry of summary judgment dismissing investors' breach of fiduciary duty claims against Goldman Sachs

FCA imposes fine of £8 million on Canadian trading firm Swift Trade for market abuse

  • Winston & Strawn LLP
  • -
  • United Kingdom
  • -
  • February 19 2014

Further to the 19 December 2013 decision of the Court of Appeal to uphold the FCA's findings as regards Swift Trade, the FCA has imposed its £8

SEC files reply brief in Mark Cuban insider trading case

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 19 2010

The SEC posted its reply brief in support of its appeal in the insider trading case against Mark Cuban, the owner of the Dallas Mavericks

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

Supreme Court to consider fraud-on-the-market pleading requirement

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 18 2012

On June 11th, the Supreme Court granted certiorari to consider whether, in a case alleging a violation of Rule 10b-5, the district court must require proof that the alleged misrepresentation or omission was material before certifying a plaintiff class based on the fraud-on-the-market theory, and whether, in such a case, the district court must allow the defendant to present evidence rebutting the applicability of the fraud-on-the-market theory before certifying the class