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Results: 1-10 of 387

Bill Pascrell introduces accountability in deferred prosecution
  • Winston & Strawn LLP
  • USA
  • May 13 2014

U.S. Representative Bill Pascrell of New Jersey has introduced a new bill, H.R. 4540, the "Accountability in Deferred Prosecution Act of 2014" in the


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


FinCEN E-Filing reminder
  • Winston & Strawn LLP
  • USA
  • September 17 2012

On September 13th, FinCEN advised that the BSA E-Filing system is now functioning properly and it has begun an initiative to contact those institutions that are continuing to file FinCEN reports in paper format


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


Firms must disclose business with state sponsors of terrorism
  • Winston & Strawn LLP
  • USA
  • January 3 2012

On December 11th, Reuters, covering a Financial Times article, reported that the SEC's Division of Corporation Finance has asked U.S. companies to identify their activities in countries that have been designated as state sponsors of terrorism


Another court questions a proposed settlement
  • Winston & Strawn LLP
  • USA
  • January 3 2012

On December 21st, Bloomberg reported a federal district court in Wisconsin has questioned the SEC's proposed accounting fraud settlement with Koss Corp


The perfect hedge
  • Winston & Strawn LLP
  • USA
  • January 3 2012

On December 19th, Bloomberg discussed the strategy and tools used by the FBI and U.S. Attorney to investigate and prosecute insider trading


SAC capital indicted.
  • Winston & Strawn LLP
  • USA
  • July 29 2013

On July 25th, the office of the Manhattan U.S. Attorney announced the indictment of SAC Capital Advisors, L.P., and its affiliated companies. The


Philip Falcone and Harbinger Capital agree to settlement
  • Winston & Strawn LLP
  • USA
  • September 10 2013

In its recent settlement with hedge fund advisor Philip Falcone and his firm Harbinger Capital Partners, the U.S. Securities & Exchange Commission


Lack of knowledge removes control person liability but imputed knowledge raises Rule 10b-5 liability
  • Winston & Strawn LLP
  • USA
  • February 25 2013

On February 22nd, the Third Circuit partially reinstated securities fraud and state law unfair trading practices claims asserted by investors against