Search for: "Officer Oxley"
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25 Apr 2024, 9:05 pm
Additionally, in 2023, the SEC obtained more than 130 orders barring individuals from serving as directors or officers of public companies (one of the highest totals on record). [read post]
23 Apr 2024, 10:56 am
So, he filed suit under a provision of the Sarbanes-Oxley Act, which protects whistleblowers. [read post]
22 Apr 2024, 12:26 pm
Evans, which at least had a nominal administrative-law nexus: it involved a traffic stop by United States Park Police officers. [read post]
19 Apr 2024, 12:30 pm
A jury finds him guilty of violating both the Sarbanes-Oxley Act and Federal Election Campaign Act. [read post]
18 Apr 2024, 9:05 pm
In a new paper, we seek to address these questions by examining the impact of Section 406 of the Sarbanes-Oxley Act (SOX), which mandates that all publicly listed companies in the U.S. adopt a code of ethics for their senior financial officers. [read post]
16 Apr 2024, 1:34 pm
§ 1512(c)(2), enacted as part of the Sarbanes-Oxley Act in the wake of the Enron scandal. [read post]
16 Apr 2024, 5:34 am
The question the justices will consider is whether a provision of the Sarbanes-Oxley Act, enacted in the wake of the collapse of the energy giant Enron, covers the conduct of a former police officer, Joseph W. [read post]
16 Apr 2024, 5:29 am
” 17 CFR §240.10D-1(b)(1)(iii).Rule 10D-1 builds on section 304 of the Sarbanes-Oxley Act, 15 U.S. [read post]
15 Apr 2024, 4:05 am
CEOs and chief financial officers (CFOs) remain subject to the clawback provisions of the Sarbanes-Oxley Act of 2002 (SOX), which provide that if a company is required to prepare an accounting restatement because of “misconduct,” the CEO and CFO are required to reimburse the company for any incentive or equity-based compensation and profits from selling company securities received during the year following issuance of the inaccurate financial statements. [read post]
11 Apr 2024, 4:57 am
The Staff noted the 133 officer and director bars in 2023 was the highest number in a decade. [read post]
9 Apr 2024, 7:16 am
More than 300 other Jan. 6 defendants have been charged with violating the law, which was enacted as part of the Sarbanes-Oxley Act in the wake of the Enron scandal. [read post]
4 Mar 2024, 2:30 am
Donna Glover is a shareholder in Baker Donelson’s Baltimore office and a member of the firm’s Labor and Employment group. [read post]
27 Feb 2024, 9:01 pm
The SEC’s complaint seeks not only corrective actions but also significant penalties, including injunctions and a prohibition against Brown serving as an officer or director of any public company. [read post]
16 Feb 2024, 10:22 am
The duty of good faith entails honest and fair dealing as directors and officers carry out day-to-day tasks for the benefit of the company. [read post]
8 Feb 2024, 2:41 pm
Thornton, which barred the states from adding additional qualifications to federal offices. [read post]
5 Feb 2024, 10:06 am
Thereafter, the DOJ obtained and executed a search and seizure warrant for the firm’s office. [read post]
24 Jan 2024, 7:51 am
For a free consultation with our experienced securities fraud attorneys, please call the offices at 888-637-5510. [read post]
12 Jan 2024, 3:08 am
That’s the question the Court faces in the case of Jatonya Muldrow, an intelligence officer in the St. [read post]
2 Jan 2024, 9:05 pm
O’Hagan, 521 U.S. 642 (1997). [6] See, e.g., Sarbanes-Oxley Act § 807; S.E.C. v. [read post]
29 Dec 2023, 6:17 am
A Closer Look At Smokeball, with Chief Revenue Officer Jane Oxley and President Ruchie Chadha. 9. [read post]
