Search for: "Financial Security Assurance, Inc."
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13 Apr 2023, 1:27 pm
In 2022, supply chain related issues led to securities suits against Tupperware (here), Torrid Holdings (here), FIGS, Inc. [read post]
27 Mar 2023, 9:01 pm
This figure is significantly lower than in 2016, when the Delaware Court of Chancery effectively put an end to the practice of disclosure-only settlements in In re Trulia Inc. [read post]
23 Feb 2023, 9:01 pm
From 2019 to present, to combat spoofing, we have brought seven corporate cases totaling more than $1 billion in criminal monetary penalties, and secured convictions of 12 former traders at Wall Street financial institutions. [read post]
1 Feb 2023, 9:01 pm
We saw this, for example, in the 2008 financial crisis, and have many recent examples of the continued phenomenon with companies such as FTX, Theranos, and WeWork. [read post]
1 Feb 2023, 2:39 pm
In a key precedent-setting ruling, the SEC’s order found that BlockFi Interest Accounts were securities that should have been registered under U.S. securities laws. [read post]
31 Jan 2023, 9:31 am
Inc. [read post]
23 Jan 2023, 9:01 pm
Restricted competition trading center: Any trading center that is not an open competition trading center and is not a national securities exchange. [read post]
23 Jan 2023, 3:20 pm
Hutchinson later testified about his assurance that she could safely evade the select committee's questions because "they don't know what you can and can't recall. [read post]
15 Jan 2023, 2:35 pm
This article explores guidelines from the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) and provides practical strategies for corporations to navigate the investigation process. [read post]
14 Jan 2023, 11:33 am
[xii] This is particularly true if the implementation of the business rule results in financial harm to interested parties who rely on The MLC, Inc. to get it right. [read post]
9 Jan 2023, 9:01 pm
Allegations relate to the financial crisis from over a decade ago where a number of financial institutions – including Deutsche Bank Securities, RBS Securities, and Wachovia Capital Markets – misled investors within offering documents on various securities issued by NovaStar. [read post]
5 Jan 2023, 2:22 pm
Allegations relate to the financial crisis from over a decade ago where a number of financial institutions – including Deutsche Bank Securities, RBS Securities, and Wachovia Capital Markets – misled investors within offering documents on various securities issued by NovaStar. [read post]
14 Dec 2022, 1:23 pm
Indeed, the dismissal of the COVID-19-related lawsuit against online education firm K-12, Inc. was recently affirmed by the F [read post]
23 Nov 2022, 6:32 am
At one end of the spectrum, over 100 comments from commentators including asset managers/investment companies and NGO/Third sector entities generally supported broader Scope 3 disclosure (see, for example, CalSTRS, Engine No.1, As You Sow , Green Century Capital Management, Inc., and Oxfam America), including recommendations to extend the reporting requirements to smaller entities, and require third-party assurances for Scope 3 emissions disclosures. [read post]
23 Nov 2022, 6:32 am
At one end of the spectrum, over 100 comments from commentators including asset managers/investment companies and NGO/Third sector entities generally supported broader Scope 3 disclosure (see, for example, CalSTRS, Engine No.1, As You Sow , Green Century Capital Management, Inc., and Oxfam America), including recommendations to extend the reporting requirements to smaller entities, and require third-party assurances for Scope 3 emissions disclosures. [read post]
17 Nov 2022, 6:30 am
“Caremark claims” relate to directors’ duties to oversee and monitor a corporation’s critical risks relating to its operational viability, legal and regulatory compliance, and financial performance and reporting. [read post]
17 Nov 2022, 6:30 am
“Caremark claims” relate to directors’ duties to oversee and monitor a corporation’s critical risks relating to its operational viability, legal and regulatory compliance, and financial performance and reporting. [read post]
2 Nov 2022, 1:02 pm
In the latest example of this phenomenon, earlier this week a plaintiff shareholder launched a securities class action lawsuit against the healthcare apparel firm FIGS, Inc. relating to the increased supply chain costs the company experienced since its June 2021 IPO. [read post]
24 Oct 2022, 2:31 pm
Grace & Company, Inc.: Alvin H. [read post]
11 Oct 2022, 9:22 am
Baby Girl, 570 U.S. 637, 658-65 (2013); and in his dissent from denial of certiorari in Upstate Citizens for Equality, Inc v. [read post]
