Search for: "In Re Securities and Exchange Commission"
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24 Jul 2014, 4:34 am
Last year, we discussed how Judge Leon’s questioning of a proposed settlement between IBM and the Securities and Exchange Commission for alleged books and records violations possibly contributed to an expanded investigation of the Company, and may have complicated the enforcement picture. [read post]
Privacy Victims by the Million: Federal Law Turns Parents and Children into Liars ... and Criminals?
5 Nov 2011, 12:11 pm
Apparently in exchange for providing this information, a child was entered into a contest. [read post]
18 May 2009, 1:21 am
SEC Lawyers Accused of Possible Insider Trading
The National Law Journal
Just as Bernie Madoff seemed to be gracing fewer front pages, the Securities and Exchange Commission's inspector general dealt another blow to the agency's lawyers. [read post]
28 Mar 2013, 1:00 pm
We’re better than that. [read post]
16 Mar 2014, 4:41 am
Warren may have been naïve, but he thought he was being questioned as part of a civil Securities and Exchange Commission investigation. [read post]
27 Oct 2009, 8:54 am
For those that have been following Overstock.com for the past few years, it came as a great surprise that the Securities and Exchange Commission decided to investigate the company and its financial reporting. [read post]
27 Aug 2023, 6:25 am
., 845 F.3d 1135, 1144 (11th Cir. 2017) (quoting In re Commonwealth’s Motion to Appoint Counsel Against or Directed to Def. [read post]
26 Apr 2016, 11:28 pm
This (much longer than usual) blogpost looks at what entities are a party to the MOU, what type of document it is, what it does, and one report on how it is being implemented and issues that it raises. 44 Institutions The 44 cooperating institutions include government, Communist Party institutions, a public institution, and a government controlled non-profit organization, listed below in the same order as the document itself: National Development & Reform Commission (NDRC), SPC,… [read post]
15 Mar 2012, 11:40 am
Form 10-K Annual Report For the Fiscal Year Ended December 31, 2011, which was filed with the Securities and Exchange Commission on February 28, 2012: As of December 31, 2011, there were approximately 950 NuvaRing cases. [read post]
15 Jun 2011, 7:37 am
Then, early this March, the CEO signs a settlement with the Securities and Exchange Commission agreeing to fork over $6.5 million in cash, nearly 79,000 restricted shares and more than 40,000 restricted stock units, to settle a complaint related to earlier fraud allegations against his company. [read post]
10 Apr 2016, 9:17 pm
When prosecutors start running that process backwards, it’s a pretty good sign that you’re looking at prosecutorial power run amok…. [read post]
25 Sep 2009, 4:00 am
Last week, the Delaware State Bar Association sent an unprecedented comment to the Securities and Exchange Commission arguing for maintaining the primacy of Delaware law, especially in light of recent amendments to the Delaware General Corporation Law and the “significant equitable limitations on the power of the board of directors to frustrate stockholder electoral efforts. [read post]
4 Jun 2013, 5:00 am
The Securities and Exchange Commission even published A Plain English Handbook: How to Create Clear SEC Disclosure Documents. [read post]
15 May 2009, 6:05 pm
In the Irony Can Be Pretty Ironic Category Two enforcement lawyers at the Securities and Exchange Commission are being investigated by federal prosecutors and the FBI for possible insider-trading violations, according to a report from the SEC's inspector general. [read post]
4 Jan 2016, 1:58 pm
Those provisions, although modeled closely on Securities and Exchange Commission (SEC) Rule 206(4)-5, included unique compensation disgorgement and disclosure elements that drew the attention of many in the regulated community. [read post]
4 Jan 2016, 1:58 pm
Those provisions, although modeled closely on Securities and Exchange Commission (SEC) Rule 206(4)-5, included unique compensation disgorgement and disclosure elements that drew the attention of many in the regulated community. [read post]
17 Jun 2023, 6:03 am
Securities and Exchange Commission and now serving as deputy general counsel at the investment firm Engine No. 1 in San Francisco — she has always had an interest in sports and business. [read post]
3 Jan 2010, 8:25 am
Overstock.com didn't want to do that, and promptly fired Grant Thornton and filed an unreviewed 10-Q with the Securities and Exchange Commission. [read post]
15 Oct 2019, 3:00 am
Securities and Exchange Commission (SEC) in 2018 were, in general, similar in number and content to disclosures filed in the prior 2 years. [read post]
15 Feb 2013, 5:26 am
Two cases filed last week by the Securities and Exchange Commission epitomize just how quickly some have jumped at the opportunity to profit from confidential information, despite the risks of being discovered and the subsequent costs. [read post]
