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Results: 1-10 of 539

Business advocacy groups seek DC Circuit review of SEC’s Conflicts Minerals Rule
  • Winston & Strawn LLP
  • USA
  • October 25 2012

On October 19, 2012, the National Association of Manufacturers and the Chamber of Commerce of the United States of America filed a petition for review of the SEC's Conflicts Minerals Rule in the U.S. Court of Appeals for the D.C. Circuit


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

On December 26th, the Seventh Circuit granted the wish of a commodity pool operator who was convicted of money laundering and mail fraud charges


Maximizing utility to compensate Ponzi scheme victims
  • Winston & Strawn LLP
  • USA
  • December 3 2012

On November 29th, the Seventh Circuit addressed whether the district court erred in approving a SEC-appointed receiver's use of the "rising tide" method for calculating the distribution of a Ponzi scheme's receivership assets


Financial services update April 28 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • April 28 2014

On April 25, the Second Circuit partially reinstated a shareholder lawsuit alleging that Barclays and its former officers misrepresented the bank's


Trader wins appeal of an FSA decision notice
  • Winston & Strawn LLP
  • United Kingdom
  • December 3 2012

The FSA issued a Decision Notice against David Hobbs, a proprietary trader at Mizuho International plc, in July 2010, for market abuse in instructing a broker to buy certain coffee futures in August 2007 (that broker, Andrew Kerr, was fined £100,000 by the FSA in June 2010 for engaging in market abuse


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


Former chief compliance officer of WG Trading Company (“WG”) avoids a custodial sentence by helping prosecutors convict the firm’s two partners in a US $554 million fraud scheme
  • Winston & Strawn LLP
  • USA
  • February 6 2015

Two WG partners pleaded guilty and were sentenced to 10 and 20 years respectively. The ex-compliance chief was sentenced to one year of supervised


Financial services update February 3 2015 judicial developments
  • Winston & Strawn LLP
  • USA
  • February 3 2015

On January 26th, the Fourth Circuit affirmed a jury award in favor of a whistleblower that came forward under the SarbanesOxley Act ("SOX"


SEC's investigation of Madoff was discretionary
  • Winston & Strawn LLP
  • USA
  • July 15 2013

On July 1st, the Third Circuit joined other courts in finding that it lacks subject matter jurisdiction over claims brought under the Federal Tort


Primary Global insider trading conviction affirmed
  • Winston & Strawn LLP
  • USA
  • October 28 2013

On October 23rd, the Second Circuit affirmed the insider trading conviction of Winifred Jiau, a defendant in the Primary Global expert networking