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Insider Trading

News & Analysis as of May 18, 2013

Pillsbury Winthrop Shaw Pittman LLP

Best Laid Plans Gone Awry: Practices for Rule 10b5-1 Trading Plans

by Sarah A. Good, Laura Hurtado, Gabriella Lombardi, Cindy V. Schlaefer, Brian Wong | Pillsbury Winthrop Shaw Pittman LLP on 5/10/2013

Rule 10b5-1 trading plans are in the limelight due to investigations initiated by U.S. Attorney’s Offices and the SEC into possible abuses by corporate executives of such plans. Now, more than ever, companies and their boards...more

Sheppard Mullin Richter & Hampton LLP

Ninth Circuit Holds that Federal Securities Laws Preempt California Labor Code's Ban on Forced Patronage at Brokerage Firms

by Bram Hanono, Jennifer Redmond, John Stigi | Sheppard Mullin Richter & Hampton LLP on 5/10/2013

In McDaniel v. Wells Fargo Investments, LLC, Nos. 11-17017, 11-55859, 11-55943, 11-55958, 2013 WL 1405949 (9th Cir. Apr. 9, 2013), the United States Court of Appeals for the Ninth Circuit affirmed the dismissal of four class...more

Dechert LLP

DOJ and SEC Scrutinize Potential Misuse of Rule 10b5-1 Trading Plans by Corporate Directors Affiliated with Investment Advisers

by Ashley Burden, Stephen Leitzell, Andrew L. Oringer, Adam Wasserman | Dechert LLP on 5/10/2013

Over the past four years, the U.S. Department of Justice (“DOJ”) and U.S. Securities and Exchange Commission (“SEC”) have focused on insider trading involving private funds as one of their key targets in the fight against...more

Jeff Ifrah

Appeals Court Set to Consider Key Sentencing Issue on Profits Derived From Fraud

by Jeff Ifrah on 5/8/2013

The U.S. Court of Appeals for the 3rd Circuit is currently considering a sentencing issue of great significance in cases in which a number of individuals work together to bring about a financial fraud. The question posed is...more

Sedgwick LLP

Credit Crunch Digest -- April 2013

by Jennifer Quinn Broda, Ryan Chapoteau, Matthew Ferguson, Todd McCormick, Thomas R. Orofino, Eric C. Scheiner | Sedgwick LLP on 5/2/2013

This issue of the Credit Crunch Digest focuses on the dismissal of antitrust claims against major banks in Libor-related litigation; settlement in the Merrill Lynch/Bank of America merger case; settlement in the SAC Capital...more

Orrick - Securities Litigation and Regulatory...

Record SEC Settlement In S.A.C. Capital Investigation. Well….Kind Of

by Penelope Graboys Blair, Anushila Shaw, James Thompson | Orrick - Securities Litigation and Regulatory... on 4/24/2013

On April 16, 2013, Judge Victor Marrero conditionally approved a $600 million consent judgment between the SEC and CR Intrinsic Investors LLC (“CR”) where CR “neither admitted nor denied” the allegations brought against it....more

Osler, Hoskin & Harcourt LLP

Alberta Securities Commission Decision Highlights the Importance of Context in Assessing Materiality

by Sandeep Joshi, Tara Kyluik, Tristram Mallett | Osler, Hoskin & Harcourt LLP on 4/16/2013

A recent decision of the Alberta Securities Commission addresses allegations of insider trading (and in the case of one respondent, tipping) against several senior officers of a public company and a spouse of an executive. In...more

Ellyn Law LLP

Liability of Directors in Canada – An Excerpt

by Ellyn Law LLP on 4/10/2013

This article is an excerpt of the Canada Chapter of International Liability of Corporate Directors, 2nd edition, published by Juris Publishing in February 2013. This excerpt excludes numerous aspects of the full chapter,...more

Morrison & Foerster LLP

What Does Cooperation Buy You?

by Kiersten Fletcher, Brian Hoffman, Justin Hoogs, Carl Loewenson, Jr., Kayvan Sadeghi, Ruti Smithline | Morrison & Foerster LLP on 4/9/2013

Cooperation. The word is filled with meaning for enforcement professionals. The U.S. Securities and Exchange Commission and the U.S. Department of Justice profess to weigh it heavily when making charging and sanctioning...more

Allen Matkins Leck Gamble Mallory & Natsis...

California Bill Would Expand Liability For Securities Fraud, Impose New Fees, Expand Commissioner’s Powers

by Keith Paul Bishop | Allen Matkins Leck Gamble Mallory & Natsis... on 4/5/2013

In late February, Senator Jerry Hill introduced a bill, SB 538, to substantially amend the Franchise Investment Law. A few days later, the bill was read for the first time and set for hearing by the Senate Banking and...more

Morrison & Foerster LLP

J-REIT Reform – Finance and Insider Trading Regulations

by Shusaku Iwasaki, Mitsutoshi Uchida | Morrison & Foerster LLP on 4/2/2013

On December 7, 2012, the working group of the finance committee of the Financial Services Agency of Japan (the “Working Group”) issued its final report (the “Final Report”) with respect to the reform of the legal regime of...more

Quinn Emanuel Urquhart & Sullivan, LLP

March 2013: White Collar Litigation Update

by Quinn Emanuel Urquhart & Sullivan, LLP on 3/29/2013

Second Circuit Declines to Apply Short-Swing Profit Rule to Transactions Involving Different Types of Stock. In a case of first impression, Gibbons v. Malone, No. 11–3620–cv, 2013 WL 57844 (2d Cir. Jan. 7, 2013), the Second...more

Snell & Wilmer L.L.P.

Corporate Communicator - Spring 2013: Rule 10b5-1 Plans Under Scrutiny

by Lulu Chiu | Snell & Wilmer L.L.P. on 3/26/2013

There has been renewed focus on Rule 10b5-1 Plans following an article in the Wall Street Journal, published on November 27, 2012, entitled “Executives’ Good Luck in Trading Own Stock,” which reported that executives who...more

Morrison & Foerster LLP

Enforcement Heads Reveal All at SIFMA Annual Seminar

by Daniel A. Nathan | Morrison & Foerster LLP on 3/25/2013

The federal budget sequester and recent Supreme Court decision in Gabelli et al. v. Securities and Exchange Commission, 568 U.S. ____ (2013), will not substantially slow down regulators’ enforcement efforts, according to...more

Law Offices of Gregory S. Robey

Prosecution Of White Collar Crime In America

by Law Offices of Gregory S. Robey on 3/22/2013

I talked earlier about white collar crime in the United States and the types of crimes committed by those who financially exploit their position. In recent years, vigorous pursuit of white collar crimes has become common....more

Orrick - Structured Finance Group

Former Futures Trader at JP Morgan Cazenove is Sentenced to 4 Years Imprisonment for Insider Dealing

by Orrick - Structured Finance Group on 3/21/2013

Following a prosecution brought by the FSA, Richard Joseph was found guilty at Southwark Crown Court of six counts of conspiracy to deal as an insider. Joseph received inside information from a print room manager at JP Morgan...more

Katten Muchin Rosenman LLP

Texas District Court Addresses Misappropriation Theory of Insider Trading

by Joseph E. Gallo, Bruce Sabados | Katten Muchin Rosenman LLP on 3/20/2013

The US District Court for the Northern District of Texas recently denied a defendant’s motion for summary judgment in a Securities and Exchange Commission civil enforcement action under the “misappropriation” theory of...more

The Law Offices of Tacopina Seigel and...

Inside The Lawyers Studio: Media Coverage On Cases Involving Insider Trading

by The Law Offices of Tacopina Seigel and... on 3/19/2013

The Securities and Exchange Commission (SEC) defines illegal insider trading as “…buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, while in possession of material,...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review - March 18, 2013

by Orrick, Herrington & Sutcliffe LLP on 3/19/2013

In This Issue: *Financial Industry Developments - CFTC Announces the Start of Mandatory Clearing - CFTC Reminds Market Participants of Swap Data Reporting Requirements - Rating Agency Developments...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - March 15, 2013

by Katten Muchin Rosenman LLP on 3/18/2013

In this issue: - Mary Jo White, Nominee for Chair of the SEC, Appears Before Senate Banking Committee - SEC Proposes Rules Regarding Technology Systems - FINRA Amends Rules to Address Extraordinary Market...more

White & Case LLP

Working Group Recommendations with respect to the Insider Trading Regulations of Japan

by Tomoko Fuminaga, Norifusa Hashimoto, Koichiro Ohashi, Christopher P. Wells | White & Case LLP on 3/15/2013

In response to recent high profile insider trading incidents conducted by tippees who received inside information from corporate insiders, especially in connection with public offerings made in Japan, on July 4, 2012, the...more

Cadwalader, Wickersham & Taft LLP

District Court Denies Mark Cuban Summary Judgment in SEC’s Insider Trading Case

by Bradley Bondi, Brett Sisto | Cadwalader, Wickersham & Taft LLP on 3/15/2013

On March 5, 2013, the United States District Court for the Northern District of Texas issued a Memorandum Opinion and Order in the case Securities and Exchange Commission v. Mark Cuban, denying Cuban's motion for summary...more

Wilson Sonsini Goodrich & Rosati

Rule 10B5-1 Trading Plans: Considerations in Light of Increased Scrutiny

by Steven Bochner, Nicki Locker | Wilson Sonsini Goodrich & Rosati on 3/13/2013

The aggressive use (or misuse) of Rule 10b5-1 trading plans is likely to become a significant area of focus for regulatory enforcement and securities class action plaintiffs. The floodlights now aimed at such plans are the...more

Skadden, Arps, Slate, Meagher & Flom LLP

Inside The Courts - March 2013 | Volume 5 | Issue 1

by Skadden, Arps, Slate, Meagher & Flom LLP on 3/11/2013

In This Issue: *U.S. SUPREME COURT - Class Certificaton - Amgen Inc. v. Conn. Ret. Plans and Trust Funds, No. 11 1085 (U.S. Feb. 27, 2013) - Statutes of Limitations - Gabelli v. Sec. & Exch. Comm’n, No....more

Morvillo Abramowitz Grand Iason & Anello P.C....

Twists, Turns, PIPEs, And Screws: Insider Trading And Mark Cuban

by Robert J. Anello | Morvillo Abramowitz Grand Iason & Anello P.C.... on 3/7/2013

On Tuesday, March 5, the SEC’s insider trading case against billionaire Dallas Mavericks owner Mark Cuban took a new twist when a federal district court in Texas declined to end the 2008 civil enforcement action. The SEC...more

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