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Financial Services Update, vol. 11, no. 20
  • Winston & Strawn LLP
  • USA
  • May 23 2016

Last Friday, in a speech to the National Association of Insurance Commissioners, Daniel Tarullo, one of the Governors of the Federal Reserve Board of


Financial Services Update, Vol. 11, no. 14
  • Winston & Strawn LLP
  • OECD, USA
  • April 11 2016

On April 7th, the Securities and Exchange Commission ("SEC") approvedthe Financial Industry Regulatory Authority's ("FINRA") proposed amendment to


Financial services update, vol. 11, issue 5
  • Winston & Strawn LLP
  • USA
  • February 8 2016

Among the instruments that EU lawmakers have passed to pave the way of the Banking Union, the Directive on Deposit Guarantee Schemes (“DGS”


Upper Tribunal upholds FCA decision to find Ian Hannam guilty of market abuse
  • Winston & Strawn LLP
  • United Kingdom
  • June 3 2014

On 27 May 2014, the Upper Tribunal upheld the FCA decision that Ian Hannam, former Chairman of Capital Markets at JP Morgan Cazenove, had engaged in


Litigation over proxy statement disclosure another update
  • Winston & Strawn LLP
  • USA
  • March 20 2013

As readers know, I have been blogging on the new form of lawsuit over companies' executive compensation disclosures that has appeared in the last


"Delaware carve-out" does not exempt mutual fund shareholders' lawsuit from SLUSA
  • Winston & Strawn LLP
  • USA
  • September 12 2011

On September 8th, the Sixth Circuit affirmed the dismissal of a state-law class action filed by mutual-fund shareholders against various fund affiliates


Arbitration award against Morgan Keegan reinstated
  • Winston & Strawn LLP
  • USA
  • October 29 2012

On October 23rd, the Fifth Circuit reinstated a FINRA arbitration award issued in favor of investors in Morgan Keegan mutual funds


Record sentence handed down in Sanders insider dealing case
  • Winston & Strawn LLP
  • United Kingdom
  • July 9 2012

On 19 June 2012 Mr. Justice Simon at Southwark Crown Court sentenced James Sanders, a director of the former UK brokerage firm Blue Index, to four years’ imprisonment after pleading guilty to 10 counts of insider dealing


Unsuitable lawsuit remanded to state court
  • Winston & Strawn LLP
  • USA
  • May 9 2011

On April 29th, the Northern District of Ohio remanded to state court plaintiffs' lawsuit against their broker


Lehman bondholders make end run
  • Winston & Strawn LLP
  • USA
  • April 26 2010

On April 20th, the district court overseeing the Lehman Brothers securities and ERISA litigation refused to stay a significant part of a FINRA arbitration brought by a purchaser of Lehman bonds and filed against Richard S. Fuld Jr., the former CEO and Chairman of Lehman Brothers Holdings, Inc., and its broker-dealer, Lehman Brothers, Inc