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25 results found


Barnes & Thornburg LLP | USA | 7 Dec 2016

U.S. Supreme Court Decides Salman, Reaffirms Broader View of Insider Trading

Just like that, the NewmanSalman insider trading saga has come to a close. For now, at least. These cases have generated a good bit of ink on this


Duane Morris LLP | USA | 15 Sep 2016

SEC Files Civil Claims Against General Counsel for Mishandling Internal Investigation and Securities Disclosures

On September 9, 2016, the U.S. Securities and Exchange Commission ("SEC") charged Ohio-based chemical company RPM International Inc. ("RPM") and its


Bracewell LLP | USA | 21 Jul 2016

Municipal Advisor, School Consultant, and Associated Individuals Enter Settlement Offers with SEC after First-of-Its-Kind Municipal Advisor Antifraud Enforcement Action

On June 13, 2016, the Securities and Exchange Commission (SEC) accepted the settlement offers made by two firms and three executives charged with


Foley & Lardner LLP | USA | 30 Sep 2011

Misuse of information as insider-trading: what constitutes a duty?

Recent business or financial news has been filled with reports of insider-trading cases that the Securities and Exchange Commission has been or is pursuing.


Ropes & Gray LLP | USA | 22 Sep 2011

WaMu court allows equity committee to pursue “equitable disallowance” of noteholder claims based on allegations of insider trading

On September 13, 2011, Judge Mary F. Walrath of the United States Bankruptcy Court for the District of Delaware granted standing for an equity committee in In re Washington Mutual, Inc. (“WaMu”) to seek “equitable disallowance” of claims held by noteholders that had traded claims after engaging in negotiations with WaMu over the terms of a global restructuring.


Dorsey & Whitney LLP | USA | 12 Sep 2011

Insider trading defendant entitled to Rule 10b5-2 instruction

A defendant in an insider trading case is entitled to a jury instruction that he furnished inside information to a person in reliance on a relationship of trust and confidence where he assets a defense under Rule 10b5-2, the Second Circuit held in a decision handed down on Friday.


Mayer Brown | Hong Kong | 9 Jun 2011

New FAQ on model code for securities transactions by directors of listed issuers

Hong Kong Exchanges and Clearing Limited (HKEx) published a new Frequently Asked Questions Series 14 (FAQ) on 31 May 2011 mainly to assist listed issuers to understand and comply with Appendix 10 of the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited, namely the Model Code for Securities Transactions by Directors of Listed Issuers (Model Code) and the corresponding relevant provisions under the Rules Governing the Listing of Securities on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited.


Porter Wright Morris & Arthur LLP | USA | 2 Dec 2010

Big lots suit raises insider trading and fair disclosure issues

Earlier this week, Columbus retailer Big Lots Inc. filed suit in Florida against a stock research company that Big Lots claims obtained nonpublic information about inventory, payroll, and margins


Kramer Levin Naftalis & Frankel LLP | USA | 29 Sep 2010

Fifth Circuit reinstates insider trading claims against Mark Cuban

On September 21, 2010, the Fifth Circuit Court of Appeals reinstated insider trading charges brought by the Securities and Exchange Commission against Texas entrepreneur Mark Cuban.


White & Case LLP | USA | 24 Sep 2010

Fifth Circuit vacates district court in SEC v. Cuban: contours of the duty of trust and confidence remain unclear

Earlier this week, in a significant victory for the Securities and Exchange Commission, the US Fifth Circuit Court of Appeals vacated the judgment of the US District Court for the Northern District of Texas dismissing the SEC's insider trading case against Mark Cuban, the owner of the Dallas Mavericks, and remanded the case to be relitigated in the District Court.

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