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Years long insider trading scheme ends with SEC, USAO charges
  • Dorsey & Whitney LLP
  • USA
  • November 19 2012

The SEC and the U.S. Attorney’s Office, New Jersey, brought civil and criminal insider trading charges against, respectively, six and seven individuals based on a five year insider trading ring that garnered over $1.4 million in illegal profits

Phoenix Light SF and other investors sue Bank of America over $261 million in RMBS
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • November 19 2012

On November 13, Phoenix Light SF Limited and other investors filed a summons with notice in the Supreme Court for the State of New York against Bank of America and various Countrywide affiliates

Supreme Court hears argument on determining materiality at the class certification stage on 10b-5 securities fraud cases
  • Holland & Knight LLP
  • USA
  • November 19 2012

The U.S. Supreme Court heard oral argument on November 5, 2012, to determine the issue of whether a court should decide the issue of materiality in an SEC Rule 10b-5 misrepresentation case, before certifying a plaintiff class based on the fraud-on-the-market theory and if so, whether the court should then allow the defendant to present evidence rebutting the presumption of the theory before certifying the class

Delaware Supreme Court upholds ruling ordering Wal-Mart to disclose documents relating to Mexican bribery allegations
  • BuckleySandler LLP
  • USA
  • July 25 2014

On July 23, the Delaware Supreme Court unanimously upheld a ruling by the Court of Chancery granting Wal-Mart Stores, Inc. shareholders access to

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

Former Siemens executives hit with record bribery fines
  • Wiley Rein LLP
  • USA
  • February 7 2014

This week, two former executives of Siemens AG were ordered to pay the largest individual civil penalties for violations of the Foreign Corrupt

Supreme Court hears oral argument on whether materiality must be proven at the class certification stage in securities class actions
  • Mayer Brown LLP
  • USA
  • November 19 2012

The Supreme Court recently heard oral argument in a case that may have a significant impact on how district courts resolve class certification fights in securities fraud cases

In this case, placement agent status was better than underwriter status
  • Allen Matkins Leck Gamble Mallory & Natsis LLP
  • USA
  • July 24 2014

As a general matter, California Corporations Code Section 25401 declares it unlawful to make an untrue statement of a material fact or omit to state

This week in securities litigation (week ending February 14, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, USA
  • February 13 2014

The Commission prevailed after a two week jury trial in an insider trading case this week, ending a string of losses. The agency also filed two

Financial Services Update, Vol 11, Issue 36
  • Winston & Strawn LLP
  • Ireland, USA
  • October 3 2016

In a September 21, 2016 complaint filed in federal district court in Philadelphia, the Securities and Exchange Commission (“SEC”) charged Leon