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Results: 1-10 of 538

Courts are the presumptive adjudicators of whether a party has waived its arbitration rights
  • Winston & Strawn LLP
  • USA
  • January 3 2012

On December 20th, the Eleventh Circuit vacated an arbitration award and remanded the matter to the district court


Financial services update February 24 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 24 2014

On February 18th, a divided three-judge panel of the Second Circuit held that an insider trading tipper can be required to disgorge all the improper


Court affirms SEC's permanent bar of attorney
  • Winston & Strawn LLP
  • USA
  • January 3 2012

On December 16th, the D.C. Circuit affirmed the SEC's finding that an attorney engaged in unethical and improper conduct while representing a non-party witness in an enforcement proceeding and affirmed the SEC's permanent bar against the attorney


Disgorgement is not an insurable loss
  • Winston & Strawn LLP
  • USA
  • January 3 2012

On December 13th, a New York Appellate Court held that the payment of disgorgement to settle SEC charges is not an insurable loss


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


Financial services update August 11 2014 insights
  • Winston & Strawn LLP
  • USA
  • August 11 2014

The New York Republican State Committee and Tennessee Republican Party (the "State Republican Committees") have initiated a lawsuit to overturn


Financial services update August 11 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • August 11 2014

On August 8th, the Ninth Circuit affirmed the dismissal of a securities fraud suit. The court held that the announcement of an investigation


Financial services update vol. 10, issue 24
  • Winston & Strawn LLP
  • United Kingdom, USA
  • July 20 2015

In April of this year, the Department of Labor (“DOL”) proposed a rule which amends the definition of “fiduciary” under the Employee Retirement


Financial services update January 26 2015 judicial developments
  • Winston & Strawn LLP
  • USA
  • January 26 2015

On January 20th, the Third Circuit addressed whether the purchases and sales of securities issued by U.S. companies through U.S. market makers


Financial services update February 9 2015 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 9 2015

On February 4th, the First Circuit affirmed the dismissal of a shareholder derivative suit alleging that Smith & Wesson made misleading statements