Posts tagged with: "105"
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24 Jan 2011, 12:18 pm by Cynthia Marcotte Stamer
Recent Internal Revenue Service (IRS) guidance loosens the conditions under which health flexible spending account (HFSA) and health reimbursement accounts may permit participants to use debit cards to purchase over-the-counter medicines or drugs after January 15, 2011.  Under Internal Revenue Code rules amended by the Affordable Care Act, drug card and other over-the-counter prescription drug purchases must meet new requirements to qualify for reimbursement by a HFSA or HRA.  HFSA and… [read post]
24 Jan 2011, 12:05 pm by Cynthia Marcotte Stamer
Implications of Announced Reprieve on Possible Participant Suits Unclear The Internal Revenue Service (IRS), Department of Labor (DOL) and Department of Health & Human Services (HHS) recently announced that the agencies do not plan to enforce new rules that prohibit non-grandfathered insured group health plans from discriminating in favor of highly compensated employees until guidance is published on the workings of certain key elements of these requirements.  The IRS announced the relief from… [read post]
12 Jul 2010, 11:16 am by By CYRUS SANATI
A new study shows that corporate audit committees are less likely to pursue reports of financial misdeeds when the whistle-blowers are anonymous. [read post]
17 Sep 2010, 9:19 am by By DEALBOOK
Federal regulators voted to propose new rules that could make it harder for financial firms to disguise their level of debt. [read post]
10 Jan 2011, 9:51 am by By BEN PROTESS
American and British regulators have agreed to work together in their supervision of accounting firms that audit public companies. [read post]
27 Jul 2011, 10:27 am by By BEN PROTESS
A lawsuit against former top Lehman Brothers executives, directors and auditors cleared a major hurdle as a federal judge rejected a bid to dismiss the case. [read post]
29 Aug 2011, 11:58 am by By PETER J. HENNING
Two settlements of investor securities fraud claims provide another sign that the government is unlikely to pursue criminal or civil charges stemming from Lehman Brothers' collapse. [read post]
4 Jun 2010, 12:48 pm by By DEALBOOK
A host of former Lehman Brothers executives sought on Friday to dismiss a lawsuit over the defunct investment bank's use of the Repo 105 accounting technique. [read post]
15 Mar 2011, 11:33 am by By PETER J. HENNING
White Collar Watch examines why former executives of Lehman Brothers might escape S.E.C. charges despite highly questionable accounting that contributed to the firm's collapse. [read post]
17 Mar 2010, 8:36 am by By DEALBOOK
A Republican legislator has called for a hearing into a court-appointed examiner's report on Lehman Brothers, and specifically about regulators' failure to uncover accounting gimmicks used by the failed investment bank, Reuters reported. [read post]
17 Mar 2010, 9:53 am by By DEALBOOK
To three former Lehman Brothers executives who talked to The New York Observer, the court-appointed examiner's report into their one-time employer's demise earns nothing more than a shrug -- and maybe a giggle. [read post]
29 Mar 2010, 3:41 pm by By DEALBOOK
The Securities and Exchange Commission is questioning Wall Street firms about whether they employed accounting strategies like those that Lehman Brothers was accused of using to hide leverage. [read post]
17 May 2010, 6:40 am by By PETER J. HENNING
White Collar Watch provides a scorecard on the multitude of Wall Street investigations and handicaps the various outcomes. [read post]
16 Aug 2010, 10:30 am by By PETER J. HENNING
White Collar Watch examines how lawyers for the bankrupt Lehman Brothers estate are seeking damages by arguing that short-sellers spread false information about the firm before it collapsed. [read post]
11 Aug 2010, 8:50 am by By PETER J. HENNING
A filing in the Lehman Brothers bankruptcy case provides some clues that significant legal action may be coming soon -- especially since the lawyers' fees are piling up at an increasingly faster pace. [read post]
13 Dec 2010, 11:01 am by By PETER J. HENNING
Prosecutors face considerable obstacles in proving criminal charges if they have only sketchy evidence of an executive's involvement in questionable decisions and the applicable legal standards are vague. [read post]
12 Oct 2012, 1:47 am by Editor
Tyson_logo.svg_.png Defendant's proposed instruction that jury limit its consideration of the defendant's subsequent change in work site compensation schedule as bearing only on whether the plaintiffs were entitled to overtime compensation was not untimely under FRE 105 even though the instruction used had been requested by the defendant after the close of the evidence, rather than at the time of the introduction of the evidence, in Lopez v.… [read post]
21 Oct 2013, 5:51 am by securities-lawyer-101
Securities Lawyer 101 Blog On September 16, 2013, the Securities and Exchange Commission (the “SEC”) brought enforcement actions against more than 20 broker dealers and other financial firms alleging violations of Rule 105 of Regulation M of the Securities Exchange … Continue reading → [read post]
1 Aug 2011, 12:23 pm by By PETER J. HENNING
A judge's decision to allow a securities fraud class-action lawsuit to continue against Lehman Brothers' former directors and officers means that their legal insurance is more likely to be exhausted. [read post]
23 Sep 2010, 3:38 pm by By PETER LATTMAN and SUSANNE CRAIG
The S.E.C. scored a win in one case against a hedge fund, Carlson Capital, but it was dealt a loss in another hedge-fund case involving Wynnefield Capital. [read post]