Search for: "Officer Oxley"
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18 Dec 2006, 10:06 am
"These changes are massive -- this is our Sarbanes-Oxley in the litigation world," says Tom Kruse, a partner in the Houston office of law firm Baker & Hostetler LLP and head of the firm's complex commercial litigation group. [read post]
22 Jul 2007, 11:37 pm
Oftentimes claims against in-house counsel of financial institutions come in the form of lawsuits involving directors and officers coupled with allegations against in-house counsel for negligence in rendering legal advice. [read post]
4 Sep 2011, 11:27 am
Derivative Actions Derivative actions are lawsuits brought by shareholders on behalf of the company against senior managers and officers. [read post]
23 Jul 2010, 9:33 am
Gale alleged that he was terminated because he opposed decisions made by company officers relating to waste and misuse of corporate funds, and because he raised concerns regarding the alleged violation of SEC rules and regulations. [read post]
3 Nov 2011, 4:33 pm
Comments submitted by mail should be addressed to the OSHA Docket Office, Docket No. [read post]
22 Aug 2012, 3:53 pm
The Chief of the SEC’s Whistleblower Office, Sean McKessy, said that the whistleblower program receives about eight tips per day. [read post]
13 Oct 2016, 3:00 am
SOX Section 806 says that a successful plaintiff in a retaliation case is entitled to “all relief necessary” to make that individual whole – but the opinion cited only two cases when analyzing the propriety of a front pay award, neither of which involved a Sarbanes-Oxley retaliation case. [read post]
12 Mar 2010, 5:57 am
Under the Menendez bill: - Shareholders at public companies would have a nonbinding vote on the proxy disclosure of compensation packages for the company's named executive executives - Shareholders would have a nonbinding vote on the merger proxy disclosure of golden parachute arrangements for the company's named executive executives - Investment managers would annually have to disclose how they voted on the two items above - SEC required to adopt rules eliciting internal pay ratio… [read post]
23 May 2007, 5:15 am
Enron and Worldcom resulted in increased regulation of substantive behavior of officers and directors. [read post]
15 Jun 2010, 7:10 am
As Senior Trial Attorney for the New York Regional Solicitor’s Office, Mr. [read post]
12 Sep 2011, 9:19 am
Jenkins, the SEC described the case as the first clawback case under the Sarbanes-Oxley Act against an individual who was not alleged to have otherwise violated the securities laws. [read post]
27 Sep 2023, 7:54 am
As a result, the SEC did not pursue a clawback action against them under Section 304 of the Sarbanes-Oxley Act of 2002. [read post]
19 Dec 2011, 10:57 am
The court's opinion gives life to a provision in the 2002 Sarbanes-Oxley Act (SOX) that makes it a felony to retaliate against whistleblowers who provide information about corporate fraud to law enforcement officers. [read post]
8 Jul 2010, 7:00 am
attorney’s office has its own threshold. [read post]
3 Apr 2012, 1:03 am
In these provisions, the Act unwinds many of the requirements Congress only recently added through the Sarbanes-Oxley Act and in the Dodd-Frank Act. [read post]
7 May 2012, 10:53 am
A more creative way of crafting this might be: Sarbanes-Oxley regulations will cost American corporations more than $55 billion, and that’s only if they follow the rules. [read post]
12 Feb 2010, 7:52 am
(In some companies, the General Counsel is also the company's chief compliance officer.) [read post]
29 Sep 2014, 2:22 pm
Attorney’s Offices, and investigating agencies, we can bring more cases and hold more companies and individuals responsible for the crimes they commit. [read post]
28 Jan 2009, 9:40 am
Lori Richards, Director, Office of Compliance Inspections and Examinations, U.S. [read post]
6 Jan 2014, 11:20 pm
The world of directors and officers liability has long been characterized by rapid change. [read post]
