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Results: 1-10 of 505

Financial services update vol. 10, issue 15
  • Winston & Strawn LLP
  • USA
  • April 20 2015

On April 15th, SEC Chairwoman, Mary Jo White, testified before the House Financial Services Subcommittee to explain the SEC's fiscal year 2016


Financial services update October 6 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • October 6 2014

On October 2nd, the Supreme Court granted certiorari to consider whether a claim that 401(k) plan fiduciaries breached their duty of prudence by


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


Financial services update July 21 2014 industry news
  • Winston & Strawn LLP
  • USA
  • July 21 2014

On July 18th, Risk.net recounted former SEC Chair Harvey Pitt's proposal for resolving concerns that U.S. firms are avoiding U.S. oversight of their


Late trading determination upheld
  • Winston & Strawn LLP
  • USA
  • August 12 2013

Pentagon Capital Management PLC and Lewis Chester were found liable for securities fraud for late trading in the mutual fund market, an activity the


Judicial developments
  • Winston & Strawn LLP
  • USA
  • March 4 2013

Two recent federal court cases provide additional insight into FCPA enforcement. In SEC v. Straub, the potential cross-border and long-lasting reach


Financial services update December 8 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • December 8 2014

On December 2, the D.C. Circuit affirmed the lifetime industry bar the SEC imposed against petitioner Peter Siris. The SEC issued the bar order


Financial services update December 15 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • December 15 2014

On December 12th, the Second Circuit addressed an issue of first impression for that court, whether 28 U.S.C. Section 1782, which authorizes federal


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