Search for: "Anne Sherry"
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10 Sep 2014, 3:03 pm
[This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.Its inspections staff having observed significant audit deficiencies with respect to revenue, the PCAOB has issued a Staff Audit Practice Alert highlighting requirements for testing revenue recognition, presentation, disclosure, and controls. [read post]
3 Nov 2014, 8:11 am
[This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.An academic study on say-on-pay patterns suggests that small shareholders are more likely than large shareholders to use the nonbinding vote to govern their companies, although larger shareholders must still be present to compel the board to take action when support for the compensation plan is low.The paper by Miriam Schwartz-Ziv of Michigan State University and Russ Wermers of the University of… [read post]
23 Feb 2015, 7:53 am
[This story previously appeared in Securities Regulation Daily.]By Anne Sherry, J.D.An investment adviser who received Wells notices of a potential SEC administrative proceeding is seeking injunctive and declaratory relief preventing the enforcement action. [read post]
13 May 2024, 7:16 am
By Anne Sherry, J.D.The Supreme Court should not hear an appeal of a Ninth Circuit decision adverse to NVIDIA Corporation, according to the plaintiffs. [read post]
3 May 2024, 8:17 am
By Anne Sherry, J.D.A report commissioned by the SEC’s Office of the Advocate for Small Business Capital Formation finds that investors undervalue crowdfunding offerings by women and minority entrepreneurs. [read post]
28 Feb 2011, 3:40 pm
(Based on her mugshot, query whether sleeping with Sherry Ann Ramos qualifies as a “pleasurable activit[y]. [read post]
10 Apr 2015, 1:13 pm
By Anne Sherry, J.D.Victims of the Stanford Ponzi scheme lost their appeal seeking to compel Pershing, L.L.C., to submit to FINRA arbitration of their claims against the clearing broker. [read post]
8 Aug 2017, 6:48 am
By Anne Sherry, J.D.Martin Shkreli’s conviction of securities fraud and conspiracy last week followed some fine-tuning of the instructions to be sent to the jury. [read post]
17 Nov 2015, 6:09 am
By Anne Sherry, J.D.The ranking minority member of the House Oversight Committee opposes the SEC’s plan to recognize other regulators’ waivers of bad actor disqualifications for security-based swaps. [read post]
21 Oct 2016, 8:32 am
By Anne Sherry, J.D.A district court dismissed a shareholder derivative suit alleging that the board of Dow Chemical breached fiduciary duties in connection with alleged urethane price-fixing. [read post]
24 Jan 2013, 6:51 am
Anne Marie Duliege , vice president of Affymax Michael Freidman, CEO City of Hope Michael Goldberg, executive chairman of Nodality, Inc., and DNAnexus, appointed as executive officer of a commercial life science entity Sam Hawgood, dean of the UC San Francisco medical school Steve Juelsgaard, former executive vice president of Genentech, appointed as executive officer of a commercial life science entity Sherry Lansing, chairwoman of the UC board of regents, appointed… [read post]
27 May 2020, 3:19 pm
By Anne Sherry, J.D. [read post]
25 Mar 2019, 5:00 am
By Anne Sherry, J.D. [read post]
23 Oct 2018, 7:03 am
By Anne Sherry, J.D. [read post]
28 Apr 2016, 7:21 am
By Anne Sherry, J.D.As sanctions for their misconduct during the litigation, the Delaware Court of Chancery dismissed the claims of OptimisCorp and its CEO against three directors and the CFO. [read post]
24 Oct 2023, 7:17 am
By Anne Sherry, J.D.The SEC dropped its claims against two officers and directors of Ripple Labs. [read post]
24 Feb 2016, 8:59 am
By Anne Sherry, J.D.The bankruptcy court in San Francisco held that, for purposes of the Bankruptcy Code's fraudulent transfer laws, bitcoin are in the nature of property rather than currency. [read post]
7 Sep 2021, 5:00 am
By Anne Sherry, J.D.Parties in the Pivotal Software class action have reached a settlement in principle, potentially mooting an appeal before the Supreme Court on whether the PSLRA stays discovery in Securities Act cases brought in state court, or only those brought in federal court. [read post]
15 Nov 2023, 5:57 am
By Anne Sherry, J.D.The Court of Appeals for the Ninth Circuit held that a short-swing transaction is exempt from clawback if it had board approval, even if that approval was not given for the specific purpose of the exemption. [read post]
15 Feb 2019, 7:08 am
By Anne Sherry, J.D. [read post]
