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Criminal conviction for insider dealing

Orrick Herrington & Sutcliffe LLP
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USA
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November 19 2012

On November 15, the FSA issued a press release stating that Thomas Amman, formerly an investment banker at Mizuho International plc, has pleaded guilty to two counts of insider dealing and two counts of encouraging insider dealing

The new FCPA guidance: it only took 35 years to get here

Orrick Herrington & Sutcliffe LLP
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USA
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November 15 2012

On November 14, 2012, the Department of Justice (“DOJ”) and Securities Exchange Commission (“SEC”) issued a much anticipated Resource Guide to the U.S. Foreign Corrupt Practices Act

SEC suffers defeat in trial against “break the buck” executives

Orrick Herrington & Sutcliffe LLP
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USA
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November 13 2012

A federal court jury in Manhattan returned verdicts on Monday, November 12, largely exonerating the two most senior Reserve Management Company executives in a Securities and Exchange Commission enforcement action accusing them of fraud

Federal court decisions permit two Dodd-Frank whistleblower cases to proceed

Orrick Herrington & Sutcliffe LLP
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USA
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October 11 2012

Two federal district courts recently issued decisions adopting a broad interpretation of the anti-retaliation provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) and allowed Dodd-Frank whistleblower claims to proceed past motions to dismiss

Tribunal upholds FSA decision to ban and fine Swiss fund manager and two former Cantor Fitzgerald traders for market abuse

Orrick Herrington & Sutcliffe LLP
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USA
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October 1 2012

The Upper Tribunal (Tax and Chancery Chamber) (the “Tribunal”) has directed the FSA to fine Stefan Chaligné, a Swiss-based hedge fund manager £900,000, (plus disgorgement of the financial benefit he obtained of 362,950) and Patrick Sejean, a former senior salesman on Cantor Fitzgerald Europe’s (CFE) London-based French desk £650,000

Federal court concludes much of SEC claims against Nicor Gas executives are full of gas

Orrick Herrington & Sutcliffe LLP
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USA
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September 4 2012

A federal judge in Illinois hollowed out much of the SECs case against two former executives of Nicor Gas

Dodd-Frank anti-retaliation provision does not apply extraterritorially

Orrick Herrington & Sutcliffe LLP
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USA
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July 18 2012

On June 28, 2012, a Texas District Court held that the Dodd-Frank's anti-retaliation provision per se does not apply extraterritorially

Let’s make a deal: SEC settlements with individuals spike in 2012

Orrick Herrington & Sutcliffe LLP
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USA
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July 10 2012

NERA Economic Consulting Group’s June 27, 2012 report shows a 20 increase in SEC settlements with individual defendants for the first half of fiscal 2012

Securities fraud case against former AIG CEO Greenberg moves forward

Orrick Herrington & Sutcliffe LLP
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USA
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June 14 2012

On May 8, a New York state appellate court held that the New York Attorney General’s securities fraud suit against Maurice “Hank” Greenberg and AIG’s former CFO, Howard Smith, is not preempted by federal law

SEC investigations and enforcement actions: a practical handbook for municipal securities issuers

Orrick Herrington & Sutcliffe LLP
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USA
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March 29 2012

The Securities and Exchange Commission (“SEC”) is focusing on municipal bonds and their municipal issuers as never before

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