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9 May 2023, 5:17 am
On Friday, May 5th, the Securities and Exchange Commission (SEC) announced its largest-ever whistleblower award – $279… The post Jackpot: $279 Million Awarded to SEC Whistleblower, Largest Award to Date appeared first on TZ Legal - Fraud Fighters. [read post]
5 Dec 2006, 4:51 am
The Jefferies Group, the brokerage firm, has agreed to pay about $9.7 million to settle charges that it gave $2 million worth of gifts, travel and entertainment to equity traders employed by Fidelity Investments to win business, the Securities and Exchange Commission said Monday. [read post]
10 Dec 2010, 12:12 pm
The Securities and Exchange Commission today simultaneously filed and settled civil fraud charges against California-based integrated circuit maker Vitesse Semiconductor Corp. and four former senior executives for inflating revenue and backdating stock options. [read post]
17 Jun 2022, 1:03 pm
Lawrence Cunningham states in part: Twenty-two of the nation’s leading professors of law and finance today wrote the Securities and Exchange Commission (SEC) to renew their doubts about the agency’s authority to adopt a new... [read post]
30 Mar 2022, 10:00 pm
Per the Holding Foreign Companies Accountable Act, the US Securities and Exchange Commission has begun identifying public companies that retained audit firms that the Public Company Accounting Oversight Board has determined it cannot inspect completely due to a position taken by the authorities in a foreign jurisdiction. [read post]
28 Jan 2010, 4:53 am
The press release states as follows: The Securities and Exchange Commission today voted to provide... [[ This is a content summary only. [read post]
3 Dec 2020, 10:00 pm
The Nasdaq Stock Market (Nasdaq) announced that it had submitted a proposal to the US Securities and Exchange Commission (SEC) seeking approval of new listing rules to advance board diversity and increase transparency to investors regarding the diversity characteristics of Nasdaq-listed company boards. [read post]
4 Dec 2006, 4:44 am
The Securities and Exchange Commission asked a federal court to force the parents of a former Fidelity Investments trader to cooperate in an investigation of whether they bought stock based on nonpublic information from their son. [read post]
3 Feb 2011, 12:39 am
If a company's financial reporting were so bad that its auditor had pointed out significant weaknesses in its accounting for seven years running, the Securities and Exchange Commission would most likely be all over it. [read post]
25 Sep 2017, 10:56 am
Alexander and Jennifer Arlen (Securities and Exchange Commission (SEC) and New York University School of Law) have posted Does Conviction Matter? [read post]
1 Jul 2015, 1:04 pm
In forms filed with the Securities and Exchange Commission on Wednesday, ... [read post]
5 Dec 2007, 4:53 am
In a federal court action, the Securities and Exchange Commission charged that a Michigan hedge fund manager told investors that one of its funds had $2.1 million in assets, when the fund was down to only $200,000. [read post]
10 Sep 2010, 2:58 am
In the Securities and Exchange Commission's investigation into the fall of Lehman Brothers, scrutiny has turned to an accounting maneuver that was designed to give the impression that the failed bank's debt levels were lower than they were, The Wall Street Journal reported. [read post]
2 Feb 2012, 9:57 am
Facebook's S-1 filing with the Securities and Exchange Commission is the first step toward an initial public offering. [read post]
14 Apr 2021, 10:00 pm
In the US Securities and Exchange Commission staff’s most recent guidance addressing environmental, social, and governance (ESG) investing, the staff of the Division of Examinations released an April 9 Risk Alert noting observations made during recent examinations of investment advisers and funds (both registered and private) engaged in ESG investing. [read post]
6 Apr 2022, 10:00 pm
Morgan Lewis partners Lance Dial, Erin Martin, and Kirstin Gibbs drafted an article for Reuters describing key provisions of the US Securities and Exchange Commission’s (SEC’s) proposed climate disclosure rules related to asset management. [read post]
18 Feb 2021, 10:00 pm
Partners Christine Lombardo, John O’Brien, and Steven Stone; of counsel Monica Parry; and associates Brian Baltz, Robert Raghunath, and Ellen Weinstein authored a piece for Wall Street Lawyer about the US Securities and Exchange Commission’s (SEC’s) new Marketing Rule. [read post]
24 Aug 2020, 2:25 pm
Partners Matthew Miner and Eric Sitarchuk and associates Jaclyn Whittaker and Amanda Robinson contributed an article to the newsletter Corporate Governance Advisor regarding the updated resource guide issued by the US Department of Justice (DOJ) and US Securities and Exchange Commission (SEC) in July. [read post]
8 Dec 2018, 3:00 am
Securities & Exchange Commission when the SEC first granted certioriari; you can read my long thoughts about it here. [read post]
1 Mar 2010, 4:52 am
Madoff years ago, tells The New York Times Magazine that while the Securities and Exchange Commission has made some improvements, it remains "poisoned by lawyers. [read post]
