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Results: 1-10 of 87

Sarbanes-Oxley whistleblower protections cover employees of a public company’s private contractors

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • March 25 2014

On March 4, 2014, the United States Supreme Court, in a 6-3 decision, expanded the protections offered to whistleblowers under anti-fraud laws, in

Second Circuit upholds SEC’s authority to obtain disgorgement from non-trading insider profits earned by portfolio fund from insider trading

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • March 12 2014

In SEC v. Contorinis, 2014 U.S. App. LEXIS 2927 (2d Cir. Feb. 18, 2014), the United States Court of Appeals for the Second Circuit upheld the

Second Circuit affirms dismissal of short-swing profit claim against Goldman Sachs arising from six-month call options

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • February 4 2014

In Roth v. The Goldman Sachs Group, Inc., No. 12-2509-cv, 2014 WL 305094 (2d Cir. Jan. 29, 2014), the United States Court of Appeals for the Second

Siemens whistleblower complaint underscores need for "top-down" anti-corruption compliance

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • January 28 2013

In 2008, Siemens AG paid $800 million to settle charges that it had violated the Foreign Corrupt Practices Act, which generally prohibits bribery of

Second Circuit reaffirms continued use of the "knowing possession" causation standard in Rajaratnam insider trading case

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • June 28 2013

In United States v. Rajaratnam, No. 11-4416-CR, 2013 U.S. App. LEXIS 12885 (2d Cir. June 24, 2013), the United States Court of Appeals for the Second

United States Supreme Court holds that class action securities fraud plaintiffs need not prove the materiality of the alleged false statements or omissions to support certification of a class, resolving circuit split

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • March 7 2013

In Amgen Inc. v. Connecticut Retirement Plans & Trust Funds, No. 11-1085, ___ WL ______ (U.S. Feb. 27, 2013), the United States Supreme Court

Ninth Circuit rejects theory of "collective scienter" and reaffirms pre-Tellabs authority applying heightened requirements for pleading scienter in securities fraud actions

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • December 4 2008

In Glazer Capital Management, LP v. Magistri, 2008 WL 5003306 (9th Cir. Nov. 26, 2008), the United States Court of Appeals for the Ninth Circuit held that when pleading scienter as to a corporate defendant, the Private Securities Litigation Reform Act of 1995 (the “Reform Act”) “requires plaintiff to plead scienter with respect to those individuals who actually made the false statements.”

Ninth Circuit allows reinstatement of criminal fraud charges against defendants who voluntarily cooperated with SEC investigators

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • April 30 2008

In United States v. Stringer, 2008 WL 901563 (9th Cir. Apr. 4, 2008), the United States Court of Appeals for the Ninth Circuit vacated a final order of the United States District Court for the District of Oregon that had dismissed criminal indictments against three individual defendants

Second Circuit reverses order disqualifying defense counsel in suit over demutualization of insurance company

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • October 13 2009

In Murray v. Metropolitan Life Ins. Co., No. 09-3716-CV, 2009 WL 3080462 (2d Cir. Sept. 29, 2009), the United States Court of Appeals for the Second Circuit reversed an order by the district court disqualifying defense counsel for a life insurance company in an action alleging fraud in connection with the demutualization of defendant life insurance company

Line in the sand: Siemens Argentina case limits personal jurisdiction under the FCPA

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • Argentina, USA
  • -
  • March 8 2013

A New York federal district court judge has dismissed a Foreign Corrupt Practices Act ("FCPA") claim against a former executive of Siemens, S.A