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Financial services update January 21 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • January 21 2014

On January 16th, the Ninth Circuit denied a petition seeking review of a SEC order which sustained a FINRA disciplinary matter stemming from


Financial services update January 27 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • January 27 2014

On January 21st, the Ninth Circuit affirmed the dismissal of a class action lawsuit which alleged that the penalties credit card companies charge


Broker-dealer's state law duties
  • Winston & Strawn LLP
  • USA
  • February 1 2010

On January 25th, the Fifth Circuit reversed, in part, the dismissal of lawsuits filed by the receivers of looted insurance companies against a broker-dealer through which the looted proceeds were laundered


SEC amends insider trading complaint
  • Winston & Strawn LLP
  • USA
  • February 1 2010

On January 25th, the New York Times reported that the federal court overseeing the SEC's insider trading case against Raj Rajaratnam, co-founder of Galleon Group, has granted the SEC's motion to amend its complaint to add additional charges


Mutual funds risk disclosure
  • Winston & Strawn LLP
  • USA
  • February 1 2010

On January 25th, the Second Circuit affirmed the dismissal of complaints alleging that mutual fund companies and their related entities violated the disclosure requirements of the Securities Act by failing to disclose certain alleged conflicts of interest


SEC failed to establish a causal connection between a registered representative's NASD rule violations and the investors' losses
  • Winston & Strawn LLP
  • USA
  • January 19 2010

On January 12th, the D.C. Circuit found that a petitioner violated NASD rules when he engaged in securities transactions on behalf of two clients without telling his employer


Indenture's terms did not equate common stock with ADRs
  • Winston & Strawn LLP
  • USA
  • February 22 2010

On February 19th, the Second Circuit affirmed the entry of summary judgment against holders of convertible notes, who sued the issuer and its successor in interest for their refusal to convert the notes into cash and stock upon the issuer's acquisition by the successor


SEC applied proper standard when reviewing NASD disciplinary proceedings
  • Winston & Strawn LLP
  • USA
  • February 22 2010

On February 17th, the Ninth Circuit dismissed a petition challenging the SEC's affirmance of a NASD disciplinary proceeding


Fifth Circuit maintains strict class certification standard
  • Winston & Strawn LLP
  • USA
  • February 22 2010

On February 12th, the Fifth Circuit affirmed a trial court's denial of class certification in a securities fraud lawsuit


SLUSA's state-actions exception
  • Winston & Strawn LLP
  • USA
  • February 8 2010

On February 3rd, the Sixth Circuit, in an opinion written by retired Associate Supreme Court Justice Sandra Day O'Connor (sitting by designation), strictly construed the state-actions exception to the Securities Litigation Uniform Standards Act("SLUSA"