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Results: 1-10 of 313

Late trading determination upheld
  • Winston & Strawn LLP
  • USA
  • August 12 2013

Pentagon Capital Management PLC and Lewis Chester were found liable for securities fraud for late trading in the mutual fund market, an activity the


Judicial developments
  • Winston & Strawn LLP
  • USA
  • March 4 2013

Two recent federal court cases provide additional insight into FCPA enforcement. In SEC v. Straub, the potential cross-border and long-lasting reach


Financial services update, vol. 8, number 19
  • Winston & Strawn LLP
  • USA
  • May 13 2013

In 2012, Congress enacted the Stop Trading on Congressional Knowledge Act (or the "STOCK Act"), in an effort to ban insider trading by members of


Dodd-Frank Act whistleblower claims must be answered
  • Winston & Strawn LLP
  • USA
  • November 4 2013

On October 25th, a U.S. District Court held that a Dodd-Frank Act whistleblower complaint adequately stated a claim. Plaintiff alleges he was


SEC announces enforcement actions for violations of the stock acquisitionaward requirements of Section 16(a)
  • Winston & Strawn LLP
  • USA
  • September 12 2014

This was widely reported in the business press (including a mention on the front page of The Wall Street Journal) yesterday, but in case you missed


Financial services update August 4 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • August 4 2014

On July 31st, the Second Circuit reversed and remanded the dismissal of a securities fraud complaint. Plaintiffs allege defendants made material


The Foreign Corrupt Practices Act
  • Winston & Strawn LLP
  • USA
  • May 20 2013

The SEC recently announced two high-profile Foreign Corrupt Practices Act ("FCPA") cases. The first involved the Ralph Lauren Corporation, where the


Ten year officer and director bar affirmed
  • Winston & Strawn LLP
  • USA
  • May 20 2013

On May 14th, the Second Circuit affirmed the ten year officer and director ban imposed against Brent Bankosky, a senior director at Takeda


Credit Suisse Group AG (“CS”) has agreed to pay $196 million and admit wrongdoing in order to settle charges
  • Winston & Strawn LLP
  • USA
  • March 11 2014

According to the SEC, CS relationship managers communicated with US clients from abroad and travelled to the US to solicit clients, provide


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