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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 June 2 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • June 2 2014

On May 28th, the Second Circuit denied a petition for panel rehearing or rehearing en banc filed by victims of Bernard Madoff's Ponzi scheme. The


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


Uncle Sam keeps the change
  • Winston & Strawn LLP
  • USA
  • November 4 2013

On October 30th, the Second Circuit affirmed a SEC decision authorizing the disbursement to the U.S. Treasury of money remaining in a Fair Fund which


Separate account administrator isn't ERISA fiduciary
  • Winston & Strawn LLP
  • USA
  • April 22 2013

On April 16th, the Seventh Circuit affirmed the dismissal of a lawsuit that sought to hold American United Life Insurance Co. ("AUL") liable as an


Supreme Court won't hear Madoff investors' appeal seeking lost profits
  • Winston & Strawn LLP
  • USA
  • July 9 2012

On June 25th, the Supreme Court denied the petition for certiorari filed by victims of Bernard Madoff's Ponzi scheme


ALJ rules on the effect of asserting the attorney-client privilege
  • Winston & Strawn LLP
  • USA
  • November 12 2012

On November 2nd, a SEC Administrative Law Judge issued an evidentiary ruling concerning the scope of the attorney-client privilege and the effect of its assertion


Oregon adopts fraud-on-the-market presumption of reliance
  • Winston & Strawn LLP
  • USA
  • December 17 2012

On December 13th, the Oregon Supreme Court held that a stock purchaser alleging material misrepresentations in the sale of securities in violation of the state's blue sky laws may establish reliance by means of the "fraud-on-the-market" presumption


Crown court sentences banker for insider dealing
  • Winston & Strawn LLP
  • United Kingdom
  • December 17 2012

On December 13th, the Financial Services Authority announced that the Southwark Crown Court has sentenced Thomas Ammann, an investment banker and former FSA Approved Person, to 2 years and 8 months imprisonment for two counts of insider dealing and two counts of encouraging insider dealing


Dodd-Frank Act whistleblower claims must be answered
  • Winston & Strawn LLP
  • USA
  • November 4 2013

On October 25th, a U.S. District Court held that a Dodd-Frank Act whistleblower complaint adequately stated a claim. Plaintiff alleges he was