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4 Nov 2010, 6:00 am
The bill included a specific legislative finding and declaration that “it is the public policy of the State of California to encourage employees to notify an appropriate government or law enforcement agency when they have reason to believe their employer is violating laws enacted for the protection of corporate shareholders, investors, employees, and the general public”. [read post]
3 Nov 2010, 11:42 am
the desire of the Foundation not to comment publicly on, or provide in financial statements for, pending or completed results of its application for recovery of funds from the Securities Investor Protection Corporation in the Madoff bankruptcy proceedings; . [read post]
2 Nov 2010, 1:59 pm
This ensures shareholders, investors, and taxpayers receive the same level of protection in detecting and preventing corporate fraud. [read post]
2 Nov 2010, 9:00 am
One of the most notorious loopholes exists under the securities laws, in which employees who report fraud upon stockholders have no protection under federal law. [read post]
1 Nov 2010, 9:36 pm
., Wolverine Joining Technologies, LLC, WT Holding Company, Inc. and TF Investor Inc.) voluntarily filed for chapter 11 protection Sunday night/Monday morning in Delaware. [read post]
28 Oct 2010, 7:16 am
-born financier ran afoul of the Russian government, which banned him from the country in 2005 as a threat to national security. [read post]
28 Oct 2010, 5:31 am
This provision would only be effective for state law claims involving breaches of fiduciary duty and the like, not federal claims, including federal securities fraud charges. [read post]
27 Oct 2010, 12:30 pm
” According to AAJ’s report, in almost every case, the Chamber’s litigation on behalf of corporations has come at the expense of Americans’ health or financial security. [read post]
27 Oct 2010, 6:00 am
The Investment Fund Law Blog By Pillsbury Winthrop Shaw Pittman Updates and insights on legal issues facing investment fund managers and investors. [read post]
27 Oct 2010, 5:55 am
" In almost every case, the Chamber's litigation on behalf of corporations has come at the expense of Americans' health or financial security. [read post]
27 Oct 2010, 5:39 am
" In almost every case, the Chamber's litigation on behalf of corporations has come at the expense of Americans' health or financial security. [read post]
26 Oct 2010, 10:37 am
Filed under: corporate governance [read post]
25 Oct 2010, 4:45 am
Unprecedented (for the securities laws) treble damage “fiduciary duty” liability for unauthorized expenditures. [read post]
22 Oct 2010, 6:17 pm
Moreover, the interests of investors in having access to accurate financial statements requires that the tax work papers be protected. [read post]
21 Oct 2010, 6:44 am
Treasury Inflation-Protected Securities (TIPS) Issued by the US government, TIPS are fixed income securities whose principal is adjusted to reflect changes in the Consumer Price Index (CPI). [read post]
21 Oct 2010, 6:24 am
Treasury has never defaulted on a bond obligation, and Treasury securities are generally considered safer than AAA-rated corporate bonds. [read post]
19 Oct 2010, 1:57 am
Among other exclusions that sometimes appears is the so-called "bump up" exclusion, precluding coverage for additional amounts paid to investors claiming inadequate consideration in a corporate buy out situation (about which refer here). [read post]
18 Oct 2010, 1:33 am
Indeed, if all prospective corporate and securities litigation were forced to endure this same type of scrutiny, and had to withstand the question whether the lawsuit would help or hurt the company and its investors on whose behalf it supposedly is filed, there would almost certainly be significantly less corporate and securities litigation. [read post]
13 Oct 2010, 8:46 am
Essentially, the Sarbanes-Oxley provisions were designed to enable companies to identify and redress problems internally as a matter of good corporate governance. [read post]
13 Oct 2010, 6:00 am
To determine whether a securities broker is licensed and registered, visit www.finra.org/investors/toolscalculators/brokercheck/index.htm. [read post]
