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.
Lexology logo






  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 359

Sixth Circuit affirms dismissal of securities fraud complaint

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 4 2010

On December 22nd, the Sixth Circuit affirmed the dismissal of a class action securities fraud complaint

Supreme Court hears oral argument on the PCAOB's constitutionality

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 14 2009

On December 7th, the Supreme Court heard oral argument in Free Enterprise Fund v. PCAOB, No. 08-861, in which the constitutionality of the PCAOB is challenged

The attorney-client privilege and internal investigations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 5 2009

On September 30th, the Ninth Circuit "explored the treacherous path which corporate counsel must tread under the attorney-client privilege when conducting an internal investigation to advise a publicly traded company on its financial disclosure obligations."

Supreme Court grants certiorari in "foreign cubed" case

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 7 2009

On November 30th, the Supreme Court granted certiorari in Morrison v. Australia Bank Ltd., 08-1191, in which the Second Circuit held that it lacked subject matter jurisdiction over a case alleging violations of U.S. securities law brought by foreign plaintiffs against a foreign issuer, in a U.S. court, based on securities transactions in a foreign country

Pro rata distribution ordered in Reserve Primary Fund case

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 7 2009

On November 25th, the U.S. District Court for the Southern District of New York, sitting in equity, ordered a pro rata shareholder distribution of the remaining fund assets held by the Reserve Primary Fund, whose net asset value fell below $1 on September 15-16, 2008

Short seller's antitrust claim is implicitly precluded by the securities laws

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 7 2009

On December 3rd, the Second Circuit affirmed the dismissal of an antitrust claim

Independent consultant reports required by SEC consent decrees are private

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • February 4 2013

On February 1st, the D.C. Circuit reversed a district court order that would have given a reporter access to an independent consultant's reports

Fee disclosure requirements

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 7 2009

On November 25th, the Second and Eighth Circuits released opinions on investment professionals' duties to disclose fee payments

Administrative proceedings filed for failing to supervise sale of PIPEs

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 1 2010

On February 22nd, the SEC instituted settled administrative proceedings against Axiom Capital Management, Inc. for failing reasonably to supervise Gary J. Gross, a former Axiom registered representative

Arbitration panel exceeded its authority in awarding damages to former registered representatives

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 1 2010

On February 22nd, the Fourth Circuit affirmed an order vacating an arbitration panel's award to registered representatives terminated by their employer, a broker-dealer

Current Search

Suggested Facets

Author

Jurisdiction

Workarea

© Copyright 2006-2013 Globe Business Publishing Ltd | Cookies | Disclaimer | Privacy policy