Search for: "A. Chatman"
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10 Oct 2007, 4:19 am
The Conference opens with a blockbuster keynote from SEC Enforcement Director Linda Chatman Thomsen. [read post]
13 Sep 2007, 12:38 pm
Enforcement Director Linda Chatman Thomsen said the failure to register with the PCAOB represents a violation of one of the key requirements of the Sarbanes-Oxley Act by avoiding PCAOB oversight.There is no explicit rule that requires issuers to inquire or to determine that their accounting firm is registered with the PCAOB. [read post]
10 Sep 2007, 5:19 am
SEC Division of Enforcement Director Linda Chatman Thomsen said that although Kelly and his group promised safe investments, the scheme was run in a manner that placed investors at great risk because it was going to inevitably fall apart. [read post]
1 Aug 2007, 9:03 pm
Still, let's let the commission have its day: "Since the 2002 passage of the Sarbanes-Oxley Act, the Commission has now returned more than $2.4 billion to investors," said Linda Chatman Thomsen, Director of the Division of Enforcement. [read post]
5 Jul 2007, 8:18 am
According to Chatman, "Mr. [read post]
16 May 2007, 1:11 am
"We want to make sure that people are not doing here what they were doing with stock options," SEC enforcement chief Linda Chatman Thomsen said recently. [read post]
9 May 2007, 3:57 pm
"By recklessly programming its order execution system to receive amounts that should have gone to retail customers, Morgan Stanley violated its duty of best execution and defrauded its customers," said Linda Chatman Thomsen, Director of the regulator's Division of Enforcement. [read post]
4 Apr 2007, 9:13 am
SEC Enforcement Chief Reviews Age Old Themes Involving Conflicts of InterestSEC Enforcement Director Linda Chatman Thomsen believes there really is nothing new under the sun when it comes to conflicts of interest in the financial services industry. [read post]
27 Mar 2007, 7:35 am
SEC Enforcement Director Linda Chatman Thomsen says that brokers are not allowed to ignore obvious discrepancies of illegal trading by its customers even though the latter now has direct market access platforms that let brokers execute bigger volumes of trade more efficiently and rapidly for customers. [read post]
16 Mar 2007, 2:14 pm
I can't figure out what Chatman did wrong except be herself. [read post]
8 Mar 2007, 6:48 am
Linda Chatman Thomsen, the SEC enforcement chief, told a group of corporate lawyers yesterday to “stop blaming everyone else for [their] issues” and instead take steps to prevent fraud and investor abuse inside their own operations. “Greed and money continue to be powerful, powerful motivators that aren’t going away,” Thomsen said in a speech to the Corporate Counsel Institute at Georgetown University. “We’ve got plenty to do, and we’re doing… [read post]
2 Mar 2007, 1:21 am
Cherzon Chatman, Defendant-Appellant.2007 WL 610729(N.Y.A.D. 1 Dept. [read post]
23 Feb 2007, 7:50 am
The cases involve backdating stock option grants which was not property disclosed. [3] Using the power of their positions, Sorin and Brant fraudulently granted in-the-money options to themselves and others to coincide with low prices of the companies' stocks. [4] The SEC's complaint regarding Sorin alleges that he falsely created a record about the company's compensation committee's approval of the grant of stock options regarding the grant date. [5] The SEC's complaint… [read post]
15 Feb 2007, 12:23 am
But in early December 2006, the SEC's nationwide head of enforcement, Linda Chatman Thomsen, publicly touted the strength of its litigation program last year, noting that it had won every single case it had litigated in federal court. [read post]
21 Jan 2007, 8:22 pm
In a press release about the settlement, Linda Chatman Thomsen, director of the SEC’s enforcement division, made it pretty clear this wouldn’t be the last of the backdating settlements: “Today’s settlement signals that the Commission will vigorously pursue those responsible for backdating schemes wherever the investigation may lead, even, as appropriate, into the offices of corporate counsel.” For more see law.com. [read post]
12 Jan 2007, 2:35 pm
In a press release about the settlement, Linda Chatman Thomsen, director of the SEC's enforcement division, made it pretty clear this wouldn't be the last of the backdating settlements: "Today's settlement signals that the Commission will vigorously pursue those responsible for backdating schemes wherever the investigation may lead, even, as appropriate, into the offices of corporate counsel. [read post]
9 Nov 2006, 3:33 am
To give you an idea of a typical guest post, here are a few good ones from past weeks: "A Suggestion for Law Schools: Start A Public Interest Section for 1Ls," by Todd Chatman; "Depression, The Lawyers' Epidemic: How You Can Recognize the Signs," by Raymond P. [read post]
7 Nov 2006, 10:13 am
SEC Enforcement Director Wants Consistent Process for Granting OptionsThe SEC's Division of Enforcement is moving vigorously against the abusive backdating of stock options, noted Director Linda Chatman Thomsen in recent remarks, with over one hundred matters under investigation. [read post]
