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Financial services update August 11 2014 industry news
  • Winston & Strawn LLP
  • USA
  • August 11 2014

On August 6th, DealBook summarized the findings of the most recent Cornerstone ResearchStanford Law School report on class action securities fraud


Financial services update August 11 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • August 11 2014

On August 8th, the Ninth Circuit affirmed the dismissal of a securities fraud suit. The court held that the announcement of an investigation


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


Financial services update January 26 2015 judicial developments
  • Winston & Strawn LLP
  • USA
  • January 26 2015

On January 20th, the Third Circuit addressed whether the purchases and sales of securities issued by U.S. companies through U.S. market makers


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 March 3 2015 feature: antimoney laundering
  • Winston & Strawn LLP
  • USA
  • March 3 2015

Last Wednesday Andrew Ceresney, the Director of the Securities and Exchange Commission' ("SEC") Division of Enforcement, discussed the culture of


The U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) fines Oppenheimer & Co. Inc. (“Oppenheimer”) US $20 million for “willfully violating” the Bank Secrecy Act
  • Winston & Strawn LLP
  • USA
  • February 6 2015

Oppenheimer admitted that it failed to implement an adequate anti-money laundering program and failed to conduct due diligence on a foreign


The Goodyear Tire & Rubber Co. (“Goodyear”) has agreed to pay US$16.2 million in settlement to the United States Securities and Exchange Commission (“SEC”) for violations of the FCPA
  • Winston & Strawn LLP
  • USA
  • March 11 2015

On 24 February 2015, Goodyear entered a Cease-and-Desist Order (the "Order") which referred to the SEC's acceptance of Goodyear's settlement offer


Financial services update February 9 2015 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 9 2015

On February 4th, the First Circuit affirmed the dismissal of a shareholder derivative suit alleging that Smith & Wesson made misleading statements


Financial services update Vol. 10, Issue 10
  • Winston & Strawn LLP
  • USA
  • March 16 2015

The U.S. Commodity Future Trading Commission ("CFTC") is holding a public roundtable on Cybersecurity and System Safeguards Testing on Wednesday