Search for: "Officer Oxley"
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13 Mar 2012, 10:34 am
BNA's very useful Corporate Counsel Weekly (sub req'd) reports that: Democratic lawmakers March 9 called on the Securities and Exchange Commission to “prioritize” rulemaking for a statutory mandate that would require companies to disclose a ratio comparing the compensation for their chief executive officers with that of employees. [read post]
9 Oct 2009, 2:00 pm
Steve Odland, 50, chairman and CEO of Office Depot and a director of General Mills, probably speaks for the majority. [read post]
23 Nov 2010, 7:56 am
Allison that since he became an executive officer of the Company, maintaining that loan is prohibited under Section 402 of Sarbanes Oxley Act of 2002. [read post]
16 May 2011, 11:32 am
(Alain Leibman, Esq., the author of this entry and a co-author of this blog, is a partner with Fox Rothschild LLP, based in our Princeton, NJ office. [read post]
26 Mar 2009, 1:39 pm
According to the Complaint, which was filed under Sarbanes-Oxley whistleblower protection and common law retaliatory discharge, Bridges was fired after she pushed back against multiple attempts to cover up perks and severance payments, including: Setting up a reimbursement/repayment scheme to avoid disclosing golf club memberships for the regional President stationed in Hong Kong; Mislabeling the outgoing CEO as… [read post]
16 May 2012, 5:00 am
(I would argue that it undercuts Sarbanes-Oxley, not Dodd-Frank.) [read post]
10 Aug 2011, 8:12 am
The plan to correct problems with the Whistleblower Protection Program comes after OSHA conducted a top-to-bottom review prompted by audits of the program by the Government Accountability Office in 2009 and 2010. [read post]
5 Oct 2009, 10:20 am
Section 404(a) of the Sarbanes-Oxley Act of 2002, or SOX, and related SEC regulations mandate that each company subject to the reporting requirements of the Securities and Exchange Act of 1934 include in its annual report a report of management on the company's internal control over financial reporting. [read post]
4 Jun 2010, 4:07 am
The SEC used the clawback provision under Section 304 of Sarbanes-Oxley to get the former CEO to agree to reimburse the company $470,016 in cash bonuses, 30,000 shares of Diebold stock and stock options for 85,000 shares of Diebold stock. [read post]
29 Sep 2018, 7:32 pm
See, section 308(a) of the Sarbanes-Oxley Act gives the SEC authority to use civil penalties to create a fund to benefit victims of the securities law violation. [read post]
15 Mar 2015, 2:29 pm
Another strategy is to offer solutions that allow employees to work outside of the office conveniently without having to use their personal accounts. [read post]
14 Dec 2020, 3:03 am
The SEC’s Office of the General Counsel has a wide range of responsibilities – so Bob played a role in all of the rulemaking, enforcement and other activities that we cover in this blog. [read post]
16 Jan 2008, 6:35 am
UPDATE: Reader Ken Braithwaite emails: It got much worse after Sarbanes-Oxley. [read post]
12 Aug 2010, 11:17 am
But, according to Norris, there is a likely benefit based on what happened with the Sarbanes-Oxley requirement that CEOs certify federal filings. [read post]
4 Nov 2013, 12:08 am
” In his retaliation lawsuit, Smith alleges that his whistleblowing reports are protected under both Sarbanes-Oxley and the Dodd-Frank Act. [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]
13 Mar 2012, 1:02 pm
While the New York State Attorney General’s Office has its own Bureau of Investor Protection, this office routinely declines to investigate the complaints of private placement investors who feel that they have been duped. [read post]
7 Apr 2015, 2:13 pm
(Backer, Larry Catá, "The Sarbanes-Oxley Act: Federalizing Norms for Officer, Lawyer and Accountant Behavior. [read post]
10 Jun 2013, 1:05 pm
Same goes for you compliance officers! [read post]
28 Oct 2022, 8:43 am
The shareholder alleged that Gulfport Energy Corp. and its former officers violated federal securities laws by making materially false and misleading statements concerning the manner in which they accounted for their oil and gas properties in Eastern Ohio and Central Oklahoma. [read post]
