We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 567

SLUSA preemption precludes pretended securities trades
  • Winston & Strawn LLP
  • USA
  • September 23 2013

On September 16th, the Second Circuit affirmed the dismissal of plaintiffs' state law claims against the defendant banks for allegedly aiding and


Securities Act plaintiffs win pyrrhic victory
  • Winston & Strawn LLP
  • USA
  • September 23 2013

On September 17th, the Third Circuit addressed two Securities Act pleading issues: whether plaintiffs must plead compliance with the statute of


Financial Services Update, Vol. 11, Issue 39
  • Winston & Strawn LLP
  • USA
  • October 24 2016

In this edition, we discuss at length two recent developments in the area of bank regulation: first, the D.C. Circuit’s decision that the structure of


Transfer agent liability
  • Winston & Strawn LLP
  • USA
  • September 16 2013

On September 10th, the Ninth Circuit addressed transfer agent liability under Section 5 of the Securities Act. The SEC alleged that defendants


Financial services update December 16 2013 judicial developments
  • Winston & Strawn LLP
  • USA
  • December 16 2013

On December 9th, the Second Circuit reversed the convictions of three employees of General Electric Company who had allegedly conspired to fix


Even sophisticated investors should read the fine print
  • Winston & Strawn LLP
  • USA
  • April 8 2013

On April 1st, the Second Circuit affirmed the district court's finding that UBS did not violate SEC Rule 10b-16, which requires brokers to disclose


Financial services update November 18 2013 judicial developments
  • Winston & Strawn LLP
  • USA
  • November 18 2013

On November 12th, U.S. District Court Judge Victor Marrero denied motions to dismiss a consolidated securities fraud class action lawsuit stemming


FSA wins High Court case against land banking firm
  • Winston & Strawn LLP
  • United Kingdom
  • February 26 2013

The FSA has won a High Court case against Asset Land (including individuals David Banner-Eve and Stuart Cohen) for operating an unauthorised


SEC's suit against ex-Freddie Mac Execs proceeds
  • Winston & Strawn LLP
  • USA
  • April 8 2013

On March 28th, a federal District Court refused to dismiss the Securities Exchange Act claims filed by the SEC against certain former executives of


Sarbanes-Oxley whistleblower standards
  • Winston & Strawn LLP
  • USA
  • March 11 2013

On March 5th, the Second Circuit clarified the pleading and burdens of proof applicable to Sarbanes-Oxley whistleblower suits. First, plaintiff must