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Results: 1-10 of 315

SEC brings first enforcement action over confidentiality agreement
  • Winston & Strawn LLP
  • USA
  • April 2 2015

On April 1, the Security Exchange Commission (SEC) announced its first enforcement action against a company for using language in employee


Financial services update October 13 2014 insights
  • Winston & Strawn LLP
  • USA
  • October 13 2014

The SEC Whistleblower Program, established under the Dodd-Frank Wall Street Reform and Consumer Protection Act, requires the SEC to pay an award to


Financial services update October 6 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • October 6 2014

On October 2nd, the Supreme Court granted certiorari to consider whether a claim that 401(k) plan fiduciaries breached their duty of prudence by


The SEC Office of the Whistleblower has announced that the first- ever recipient of an award under the Dodd-Frank whistleblower program will receive an additional $150,000
  • Winston & Strawn LLP
  • USA
  • May 13 2014

This additional payment is based on additional assets the SEC collected from the defendants. The whistleblower, who has not been identified


Bill Pascrell introduces accountability in deferred prosecution
  • Winston & Strawn LLP
  • USA
  • May 13 2014

U.S. Representative Bill Pascrell of New Jersey has introduced a new bill, H.R. 4540, the "Accountability in Deferred Prosecution Act of 2014" in the


Financial services update July 21 2014 industry news
  • Winston & Strawn LLP
  • USA
  • July 21 2014

On July 18th, Risk.net recounted former SEC Chair Harvey Pitt's proposal for resolving concerns that U.S. firms are avoiding U.S. oversight of their


Late trading determination upheld
  • Winston & Strawn LLP
  • USA
  • August 12 2013

Pentagon Capital Management PLC and Lewis Chester were found liable for securities fraud for late trading in the mutual fund market, an activity the


Judicial developments
  • Winston & Strawn LLP
  • USA
  • March 4 2013

Two recent federal court cases provide additional insight into FCPA enforcement. In SEC v. Straub, the potential cross-border and long-lasting reach


Financial services update September 29 2014 industry news
  • Winston & Strawn LLP
  • USA
  • September 29 2014

On September 25th, Dealbook detailed how lenders of sub-prime auto loans are installing disabling devices which allow them to make a car undrivable


Financial services update September 29 2014 Securities and Exchange Commission
  • Winston & Strawn LLP
  • USA
  • September 29 2014

On September 22nd, the SEC announced an expected award of over $30 million to a whistleblower who provided key original information that led to a