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Searching Content indexed under Trials & Appeals & Compensation by Kevin M. Askew ordered by Published Date Descending.
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Supreme Court Weighs Insider Trading: Friends, Family, And Others
The Supreme Court heard oral arguments in US v. Salman, a closely-watched insider trading case in which the Ninth Circuit held that, where the insider had a close personal relationship with the tippee...
United States
18 Oct 2016
2
SDNY Prosecutors Score First Post-Newman Insider Trading Conviction
Robert Stewart did not testify at trial, asserting his Fifth Amendment right against self-incrimination.
United States
26 Aug 2016
3
Equity Trust Notches A Rare Defense Win In SEC Administrative Proceedings
Equity Trust is a custodian of "self-directed individual retirement accounts" ("SDIRAs"), a type of IRA that permits investments in assets other than publicly traded stocks and bonds, such as real estate and promissory notes.
United States
13 Jul 2016
4
Full Court Pressure: SEC OIG Finds No Undue Influence By ALJs In Favor Of Government
The Securities and Exchange Commission's Office of the Inspector General ("OIG") recently released findings from its extensive investigation into allegations of potential bias against respondents in SEC administrative proceedings.
United States
3 Mar 2016
5
Chancery Court Continues To Close The Door On Disclosure-Only Settlements And Fees (But Opens A Window For "Mootness Dismissals")
In 2015, the Delaware Court of Chancery issued a number of decisions calling for enhanced scrutiny of "disclosure-only" M&A settlements that involve no monetary benefits to a shareholder class.
United States
12 Feb 2016
6
To Hall(iburton) And Back: Will Third Time Be A Charm As Fifth Circuit Grants Another Appeal In Halliburton?
Given the history of this case, Judge Dennis's view that allowing yet another appeal will provide "added clarity" seems a bit optimistic. In any event, it may be several years before any clarity materializes.
United States
18 Nov 2015
7
The Continuing Fall-Out From The Second Circuit’s Insider Trading Decision In Newman
Last week, a New York federal judge struck another blow to prosecutorial efforts to secure insider trading convictions in tipper-tippee cases.
United States
2 Feb 2015
8
How Far Does Section 10(B) Reach? The Second Circuit Says That A Domestic Transaction Is Necessary, But Not Sufficient, To Invoke U.S. Securities Laws
The Second Circuit affirmed the dismissal of claims brought by parties to swap agreements that were entered into in the U.S. but were based on the price of foreign securities.
United States
4 Sep 2014
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