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Upper Tribunal upholds FCA decision to find Ian Hannam guilty of market abuse
  • Winston & Strawn LLP
  • United Kingdom
  • June 3 2014

On 27 May 2014, the Upper Tribunal upheld the FCA decision that Ian Hannam, former Chairman of Capital Markets at JP Morgan Cazenove, had engaged in


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 June 2 2014 feature: corporate governance
  • Winston & Strawn LLP
  • USA
  • June 2 2014

Legal blogs have been abuzz over a recent Delaware Supreme Court opinion which seemed to approve a private company's decision to change its by-laws


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


Second Circuit determines that Judge Rakoff was wrong to reject SEC-Citigroup settlement
  • Winston & Strawn LLP
  • USA
  • June 16 2014

On 4 June 2014, the Second Circuit Court of Appeals ruled that Judge Jed S. Rakoff exceeded his authority by demanding that Citigroup do more than


If you thought the IRS would not punish 409A foot faults, think again
  • Winston & Strawn LLP
  • USA
  • March 26 2013

The result in the case Sutardja v. U.S., decided by the United States Court of Federal Claims last month is not surprising. We all understood the


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


SEC bar order vacated
  • Winston & Strawn LLP
  • USA
  • June 17 2013

On June 11th, the D.C. Circuit vacated the SEC's order barring petitioner from the securities industry. FINRA, as successor to the NASD, found that


Another court questions a proposed settlement
  • Winston & Strawn LLP
  • USA
  • January 3 2012

On December 21st, Bloomberg reported a federal district court in Wisconsin has questioned the SEC's proposed accounting fraud settlement with Koss Corp


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