We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 402

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 February 24 2014 judicial developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 24 2014

On February 18th, a divided three-judge panel of the Second Circuit held that an insider trading tipper can be required to disgorge all the improper

Financial services update March 3 2014 judicial developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 3 2014

On February 26th, the U.S. Supreme Court held that the state law fraud claims against the third parties who allegedly assisted R. Allen Stanford's

Illuminating case on the tax effect of forfeitures and clawbacks

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 17 2014

One of the many unresolved issues in the area of compensation clawbacks (in addition to the fact that we don't have SEC rules on Dodd-Frank Act

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

Financial services update March 10 2014 judicial developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 10 2014

On March 7th, the D.C. Circuit denied a petition seeking review of OCC sanctions barring Lawrence Dodge, the former CEO of Sterling Bank, from

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

Interesting case illustrating the benefits of Rule 10b5-1 trading plans

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 7 2014

We have written extensively on Rule 10b5-1 trading plans in the last 12 months (and 10 years). However, the courts have not issued an extensive

Financial services update March 31 2014 judicial developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 31 2014

On March 21st, the D.C. Circuit substantially upheld the Federal Reserve Board's regulations imposing a cap on the per-transaction debit card fees

Claims against WaMu's directors and auditor are dismissed

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 3 2010

On April 28th, the federal district court overseeing a class action securities fraud lawsuit against Washington Mutual, Inc. granted the motions submitted by former directors of WaMu and WaMu's auditor, Deloitte & Touche, seeking dismissal of the fraud and negligent misrepresentation claims asserted against them