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Results: 1-10 of 594

Ten year officer and director bar affirmed
  • Winston & Strawn LLP
  • USA
  • May 20 2013

On May 14th, the Second Circuit affirmed the ten year officer and director ban imposed against Brent Bankosky, a senior director at Takeda


SEC amends insider trading complaint
  • Winston & Strawn LLP
  • USA
  • February 1 2010

On January 25th, the New York Times reported that the federal court overseeing the SEC's insider trading case against Raj Rajaratnam, co-founder of Galleon Group, has granted the SEC's motion to amend its complaint to add additional charges


Pro rata distribution ordered in Reserve Primary Fund case
  • Winston & Strawn LLP
  • USA
  • December 7 2009

On November 25th, the U.S. District Court for the Southern District of New York, sitting in equity, ordered a pro rata shareholder distribution of the remaining fund assets held by the Reserve Primary Fund, whose net asset value fell below $1 on September 15-16, 2008


A broker may have a "trust relationship" with a client
  • Winston & Strawn LLP
  • USA
  • June 14 2010

On June 8th, the Ninth Circuit affirmed defendants' convictions arising out of a securities fraud pump-and-dump scheme, but vacated the sentence


Record sentence handed down in Sanders insider dealing case
  • Winston & Strawn LLP
  • United Kingdom
  • July 9 2012

On 19 June 2012 Mr. Justice Simon at Southwark Crown Court sentenced James Sanders, a director of the former UK brokerage firm Blue Index, to four years’ imprisonment after pleading guilty to 10 counts of insider dealing


Insights from Winston & Strawn
  • Winston & Strawn LLP
  • USA
  • December 10 2012

With the passage of time, more and more of the litigation arising out of the financial crisis are coming to a close


Securities fraud lawsuit dismissed
  • Winston & Strawn LLP
  • USA
  • August 23 2010

On August 16th, a federal district court dismissed a putative class action securities fraud complaint alleging that defendants made material misrepresentations about the adequacy of a subsidiary's loss reserves and the quality of its loan portfolio


Auditor liability for securities fraud
  • Winston & Strawn LLP
  • USA
  • January 24 2011

On January 21st, the Tenth Circuit affirmed the dismissal of a securities fraud action against an issuer's auditor


Securities fraud lawsuit was properly dismissed
  • Winston & Strawn LLP
  • USA
  • February 13 2012

On February 6th, the Tenth Circuit affirmed the dismissal of plaintiffs' claims that defendants committed securities fraud in violation of Rule 10b-5


Culpability required for securities fraud exception to debt discharge in bankruptcy
  • Winston & Strawn LLP
  • USA
  • September 28 2011

On September 19th, the Ninth Circuit considered whether the exception to Chapter 7 bankruptcy discharge for debts resulting from a violation of state or federal securities laws applies when the debtor himself is not culpable for the securities violation that caused the debt