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Results: 1-10 of 523

Financial services update vol. 10, issue 15
  • Winston & Strawn LLP
  • USA
  • April 20 2015

On April 15th, SEC Chairwoman, Mary Jo White, testified before the House Financial Services Subcommittee to explain the SEC's fiscal year 2016


Is the Supreme Court poised to reject FERC's market manipulation cases?
  • Winston & Strawn LLP
  • USA
  • November 21 2014

Last week, two U.S. Supreme Court Justices signaled that they are seeking a case to address whether courts must defer to an agency's interpretation


Federal securities law preempts California's forced patronage statute
  • Winston & Strawn LLP
  • USA
  • April 15 2013

On April 9th, the Ninth Circuit affirmed the dismissal of four putative class action lawsuits filed against various broker-dealers. California state


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


Transfer agent liability
  • Winston & Strawn LLP
  • USA
  • September 16 2013

On September 10th, the Ninth Circuit addressed transfer agent liability under Section 5 of the Securities Act. The SEC alleged that defendants


The mens rea of no knowledge
  • Winston & Strawn LLP
  • USA
  • April 29 2013

On April 25th, the Eighth Circuit addressed whether defendant's claimed lack of knowledge that the securities laws applied to the promissory notes he


Court limits Dodd-Frank Act whistleblower rule's reach
  • Winston & Strawn LLP
  • USA
  • October 28 2013

On October 21st, a U.S. District Court addressed the extraterritorial reach of the Dodd-Frank Act's anti-retaliation provisions. Plaintiff, a former


Primary Global insider trading conviction affirmed
  • Winston & Strawn LLP
  • USA
  • October 28 2013

On October 23rd, the Second Circuit affirmed the insider trading conviction of Winifred Jiau, a defendant in the Primary Global expert networking


US Supreme Court imposes strict statute of limitations requirement on SEC
  • Winston & Strawn LLP
  • USA
  • March 14 2013

In a sweeping decision, Gabelli v. Securities and Exchange Commission, the US Supreme Court unanimously imposed a strict five year statute of


Financial services update February 24 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 24 2014

On February 18th, a divided three-judge panel of the Second Circuit held that an insider trading tipper can be required to disgorge all the improper