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Jury issues mixed verdict in reserve primary fund trial
  • Davis Polk & Wardwell LLP
  • USA
  • December 20 2012

On November 12, 2012, a federal jury in the U.S. District Court for the Southern District of New York issued a mixed verdict in the case involving Bruce

Second Circuit upholds SEC’s authority to obtain disgorgement from non-trading insider profits earned by portfolio fund from insider trading
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • March 12 2014

In SEC v. Contorinis, 2014 U.S. App. LEXIS 2927 (2d Cir. Feb. 18, 2014), the United States Court of Appeals for the Second Circuit upheld the

Financial services update March 10 2014 industry news
  • Winston & Strawn LLP
  • USA
  • March 10 2014

On March 6th, the Basel Committee published the results of its Basel III monitoring exercise. A total of 227 banks participated in the current study

Before the whistle blows: understanding and addressing the expanding scope of whistleblower protections under Sarbanes-Oxley and Dodd-Frank
  • Cadwalader Wickersham & Taft LLP
  • USA
  • May 12 2014

The Sarbanes-Oxley Act of 2002 ("Sarbanes-Oxley") was enacted following the accounting scandals of the early 2000s involving Enron, WorldCom and

Two investment frauds centered on pre-IPO shares of Facebook
  • Dorsey & Whitney LLP
  • USA
  • June 25 2013

Fraudulent investment funds purporting to give the public an opportunity to acquire pre-IPO shares of potentially hot stocks such as Facebook have

SEC brings another offering fraud action
  • Dorsey & Whitney LLP
  • USA
  • June 23 2013

The SEC continues to focus on offering fraud cases. This time the action is against a securities law recidivist, his company and a person working

SEC and Revlon settle allegations of deceptive acts in “going private” transaction
  • Arnold & Porter LLP
  • USA
  • June 24 2013

On June 13, 2013, the Securities and Exchange Commission (SEC) announced that it had reached a settlement with Revlon, Inc. (Revlon) regarding

This week in securities litigation (week ending August 2, 2013)
  • Dorsey & Whitney LLP
  • USA
  • August 1 2013

The SEC Enforcement program got a big win on Thursday in the Tourre case when a jury returned a verdict in favor of the agency. The case is an

Second Circuit applies Morrison v. National Australia Bank to allow certain extraterritorial application of RICO
  • Sheppard Mullin Richter & Hampton LLP
  • Australia, USA
  • May 9 2014

In European Community v. RJR Nabisco, Inc., Case No. 11-CV-2475 (2d Cir. Apr. 23, 2014), the United States Court of Appeals for the Second Circuit

City of Pontiac: Second Circuit further limits when US securities laws may reach non-US securities and issuers
  • White & Case LLP
  • USA
  • May 9 2014

In City of Pontiac Policemen’s and Firemen’s Retirement System v. UBS AG (“City of Pontiac”), the US Court of Appeals for the Second Circuit