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Financial services update July 14 2014 industry news
  • Winston & Strawn LLP
  • USA
  • July 14 2014

On July 11th, Reuters noted that the July 8, 2014 acquittal of Rengan Rajaratnam, the younger brother of convicted insider trader Raj


Financial services update April 21 2014 feature
  • Winston & Strawn LLP
  • USA
  • April 21 2014

On the last day of March, SEC Chair Mary Jo White gave the keynote speech at the SIFMA Compliance & Legal Society Annual Seminar. The speech extolled


Financial services update April 21 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • April 21 2014

The CFTC alleged defendant commodity traders violated 742 of the Dodd-Frank Act by conducting off-exchange and fraudulent retail commodity


FCPA enforcement comes under criticism before House of Representatives Task Force
  • Winston & Strawn LLP
  • USA
  • July 3 2013

At a hearing before the newly created Over-Criminalization Task Force, two of the four witnesses focussed on FCPA enforcement. The criticism included


Crime, corruption & other misdeeds
  • Winston & Strawn LLP
  • USA
  • June 28 2013

On June 13, government prosecutors indicted a former trustee and business agent for the Detroit local union of the IBT. The indictment asserts that


SEC amends insider trading complaint
  • Winston & Strawn LLP
  • USA
  • February 1 2010

On January 25th, the New York Times reported that the federal court overseeing the SEC's insider trading case against Raj Rajaratnam, co-founder of Galleon Group, has granted the SEC's motion to amend its complaint to add additional charges


SIGTARP quarterly report
  • Winston & Strawn LLP
  • USA
  • February 8 2010

On January 30th, the Office of the Special Inspector General for the Troubled Asset Relief Program released its most recent quarterly report to Congress


FinCEN releases analysis of mortgage loan fraud suspicious activity
  • Winston & Strawn LLP
  • USA
  • February 22 2010

On February 18th, the Financial Crimes Enforcement Network released a new analysis of suspicious activity related to possible mortgage loan fraud reported in the third quarter of 2009


Broker-dealers can be victims too
  • Winston & Strawn LLP
  • USA
  • February 8 2010

On January 2nd, the Tenth Circuit addressed whether a broker-dealer, as the employer of a financial consultant convicted of wire fraud, can be a victim under the Mandatory Victim Restitution Act


FINRA fines two firms for inadequate AML programs
  • Winston & Strawn LLP
  • USA
  • February 8 2010

On February 2nd, the Financial Industry Regulatory Authority fined two firms for failing to have and implement adequate anti-money laundering programs