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US "fraud on the market" rules to affect securities class actions?
  • Clayton Utz
  • USA, Australia
  • September 18 2014

Securities class actions may be easier to prove if a recent court decision is followed through.A person who suffers an investment loss because of

Second Circuit holds whistleblower anti-retaliation provision does not apply extraterritorially
  • Debevoise & Plimpton LLP
  • USA
  • August 19 2014

In a closely-watched decision interpreting the Dodd-Frank Act's whistleblower provision, the Second Circuit Court of Appeals last week affirmed the

SEC efforts to compel SIPIC coverage for Stanford victims rejected
  • Dorsey & Whitney LLP
  • USA
  • July 21 2014

The D.C. Circuit rejected efforts by the SEC to compel the Securities Investor Protection Corporation to liquidate a broker-dealer that was part of

Size doesn’t matter: insider trading charges for $11k profit
  • Pillsbury Winthrop Shaw Pittman LLP
  • USA
  • July 23 2014

The Securities and Exchange Commission (the "SEC") charged Kevin McGrath, a partner at a New York investor relations firm with insider trading

This week in securities litigation (week ending July 18, 2014)
  • Dorsey & Whitney LLP
  • USA
  • July 17 2014

The SEC's insider trading probe regarding the House Ways and Means Committee and a senior staff member, also involves 44 investment funds and other

Ninth Circuit Court of Appeals raises pleading standard for securities fraud actions
  • Pillsbury Winthrop Shaw Pittman LLP
  • USA
  • December 18 2014

Since the Supreme Court’s Dura Pharmaceuticals decision in 2005, courts of appeals have split as to what a party must do to plead loss causationan

Financial services update December 8 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • December 8 2014

On December 2, the D.C. Circuit affirmed the lifetime industry bar the SEC imposed against petitioner Peter Siris. The SEC issued the bar order

The SEC’s gambit in Peixoto backfires: the Commission is forced to dismiss its administrative case against Peixoto following Newman decision
  • Fish & Richardson PC
  • USA
  • December 22 2014

The SEC’s administrative proceeding against Jordan Peixoto for insider trading has unraveled following the Second Circuit’s issuance of its decision

Financial services update December 15 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • December 15 2014

On December 12th, the Second Circuit addressed an issue of first impression for that court, whether 28 U.S.C. Section 1782, which authorizes federal

Second Circuit defines “customer” under FINRA
  • Barnes & Thornburg LLP
  • USA
  • September 19 2014

In a recent case, the Second Circuit Court of Appeals defined a "customer" under the Financial Industry Regulatory Authority (FINRA). The Court held