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20 Nov 2022, 7:19 am
Indeed, a front-page Wall Street Journal article on November 18, 2022 (here) noted that “the script has been flipped,” and now retailers, rather than struggling to obtain supplies are drowning in inventory. [read post]
24 Sep 2010, 7:00 am
Drimal, Schottenfeld Group, LLC, Gautham Shankar, David Plate, Emanuel Goffer, and Michael Kimelman, Civil Action No. 09-09208 (LAK) (S.D.N.Y.): In this case, the SEC alleged that a ring of Wall Street traders and hedge funds made over $20 million trading ahead of corporate acquisition announcements using inside information tipped by an attorney at the law firm Ropes & Gray, in exchange for kickbacks. [read post]
10 Jan 2024, 1:43 pm
According to a January 10, 2024, front-page Wall Street Journal article entitled “The Latest Dirty Word in Corporate America: ESG” (here), as “ESG” has become the three letters that corporate officials dare not utter, they have found other ways to talk about “responsible business. [read post]
14 May 2019, 6:08 am
” Most recently, the Wall Street Journal reported that U.S. officials were contemplating additional sanctions to curb what remains of Iran’s export revenue and deny the regime the ability to import basic goods, and some outside groups have begun measuring the effectiveness of sanctions by the scope of price increases for basic goods, including foodstuffs, in Iran. [read post]
22 Oct 2020, 9:05 pm
In a recent paper, David Zaring, professor at the Wharton School, analyzed changes in regulatory enforcement against large banks after the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
5 Jan 2007, 5:51 am
A special committee of the board said Dec. 29 that Jobs was "aware of or recommended the selection of some favorable grant dates," but did not benefit financially, The Wall Street Journal reported. [read post]
7 Jun 2007, 5:15 am
Plaintiffs asserted that these transactions were a sham, had no economic substance, and were used only to allow Charter to meet Wall Street expectations. [read post]
22 Nov 2008, 4:28 pm
Barney Frank, in the Wall Street Journal indicated that he favors creation of a “systemic-risk regulator,” with responsibility for protecting the soundness of the whole financial system. [read post]
14 Apr 2010, 3:55 am
In fact, some on Wall Street had jobs so secret and complex that they couldn’t even do them. [read post]
15 Jun 2016, 8:08 am
Leisner In August 6, 2015, the SEC Division of Corporation Finance issued an interpretive letter to Citizen VC concerning exempt private offerings under Rule 506(b). [read post]
26 Jan 2010, 1:53 am
The Wall Street bailouts, the caving to insurance and pharmaceutical interests in health care reform, the ability of coal companies to stop Congress from addressing even profoundly important questions like global warming leads most to the view that it isn't reason or even constituent politics that determines what Congress does or doesn't do. [read post]
21 May 2010, 2:14 am
Interestingly, among the specific institutions the Times article mentions as having attracted private investment capital are banks that have also recently attracted securities class action lawsuits, including Synovus Financial, Sterling Financial, and Pacific Capital Corporation. [read post]
21 Apr 2010, 2:11 pm
Sponsored by Committee Chair Blanche Lincoln, the Wall Street Transparency and Accountability Act would set up derivatives clearing organizations under a sound corporate governance regime.Under the bill, the CFTC must consult with the SEC on the development of certain rules and orders. [read post]
16 May 2011, 2:29 am
For example, regulatory relationship managers must be intimately familiar with the applicable requirements of the Dodd-Frank Wall Street Reform & Consumer Protection Act of 2010, which impacts all financial institutions, and simultaneously, they must attempt to discern how this legislation will inform agency activity in the future. [read post]
5 Jun 2012, 8:14 am
(AGEL), a Nevada corporation that purportedly managed assets. [read post]
5 Jun 2012, 8:14 am
(AGEL), a Nevada corporation that purportedly managed assets. [read post]
18 Aug 2015, 7:52 pm
Well known for her extensive work with health care, insurance and other highly regulated entities on corporate compliance, internal controls and risk m [read post]
8 Apr 2022, 11:50 am
” The U.S. issued restrictions on technology and industrial goods exports to Russia in an effort to target Russia’s defense and technology industries, according to the Wall Street Journal. [read post]
26 Apr 2013, 1:52 am
The Wall Street Journal is reporting again on the alleged misuse of Rule 10b5-1 trading plans. [read post]
19 Feb 2015, 6:14 am
The Sarbanes-Oxley Act of 2002 (“SOX”) and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 work in tandem to protect whistleblowers at all publicly traded companies. [read post]
