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Results: 1-10 of 378

Illuminating case on the tax effect of forfeitures and clawbacks
  • Winston & Strawn LLP
  • USA
  • March 17 2014

One of the many unresolved issues in the area of compensation clawbacks (in addition to the fact that we don't have SEC rules on Dodd-Frank Act


Court questions SEC's settlement practice
  • Winston & Strawn LLP
  • USA
  • March 28 2011

On March 21st, Judge Jed S. Rakoff reluctantly granted the proposed settlement of the SEC's accounting fraud action against a company and two of its executives


FINRA reminds members of their FCPA obligations
  • Winston & Strawn LLP
  • USA
  • March 28 2011

On March 18th, FINRA reminded its members of their obligations under the Foreign Corrupt Practices Act


SEC Approves FINRA Capital Acquisition Broker Rules
  • Winston & Strawn LLP
  • USA
  • September 13 2016

The Securities and Exchange Commission ("SEC") recently approved FINRA’s capital acquisition broker rules. A copy of the approval order is available


Judge in SEC enforcement action puts brakes on settlement deal with IBM over alleged bribes to Chinese officials
  • Winston & Strawn LLP
  • USA
  • January 14 2013

Despite the agreement of the parties, Judge Leon (U.S. District Judge in the District of Columbia circuit) refused to approve the settlement


SEC releases first annual report on Dodd-Frank whistleblower program
  • Winston & Strawn LLP
  • USA
  • December 3 2012

Despite Dodd-Frank’s attempt to encourage whistleblowers to come forward through monetary awards, the SEC report reveals that, of the 3,001 whistleblower reports made, only one award has yet been paid, for $45,000 (although this figure is likely to increase), in the program’s first year


Financial services update June 9 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • June 9 2014

On June 5th, the First Circuit affirmed the dismissal of plaintiffs' securities fraud lawsuit. The appellate court found that Genzyme had no duty to


Insider trading settlement conditionally approved
  • Winston & Strawn LLP
  • USA
  • April 22 2013

On April 16th, U.S. District Court Judge Victor Marrero thoughtfully explained why he has conditionally approved the SEC's proposed $600 million


Commissioner Aguilar discusses investor protection
  • Winston & Strawn LLP
  • USA
  • April 22 2013

On April 16th, SEC Commissioner Luis A. Aguilar discussed strengthening the private remedies available to those who have been victims of financial


A cautionary settlement
  • Winston & Strawn LLP
  • USA
  • July 29 2013

On July 25th, Reuters reported a federal district court has approved the SEC's proposed Foreign Corrupt Practices Act settlement with IBM. The