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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


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


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


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


Fifth Circuit maintains strict class certification standard
  • Winston & Strawn LLP
  • USA
  • February 22 2010

On February 12th, the Fifth Circuit affirmed a trial court's denial of class certification in a securities fraud lawsuit


Madoff-related developments
  • Winston & Strawn LLP
  • United Kingdom, USA
  • February 8 2010

A series of events occurred this week relating to Bernard Madoff's Ponzi scheme


Insider trading defendants must produce wiretap evidence to the SEC
  • Winston & Strawn LLP
  • USA
  • February 15 2010

The US District Court for the Southern District of New York has ordered Raj Rajaratnam and his insider trading co-defendants to produce to the SEC wiretap evidence defendants received from the U.S. Attorney in the related criminal case


Separate court case required to determine D&O coverage for former Stanford Bank executives
  • Winston & Strawn LLP
  • USA
  • March 22 2010

On March 16th, the Fifth Circuit held that a separate parallel coverage action was required to determine whether D&O insurers were required to pay for the defense of individual defendants in the cases stemming from the alleged Ponzi scheme perpetrated by R. Allen Stanford