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5 Aug 2016, 6:27 am
Creditors’ Incentives to Monitor: The Impact of CEO Compensation Structure Posted by Francesco Vallascas, University of Leeds, on Friday, July 29, 2016 Tags: Agency costs, Behavioral finance, Debt, Debt contracts, Equity-based compensation, Executive Compensation,Financial institutions, Incentives, Management, Risk-taking, Short-termism, Stock options, Stock performance Refreshing the Board Posted by Steven B. [read post]
4 Aug 2016, 8:32 am
Jonothon Michael Lieberman of Woodbury, New York submitted an AWC in which he was barred from association with any FINRA member in any capacity. [read post]
31 Jul 2016, 7:21 am
In more recent times there has been a strong divergence between stores of wealth and displays of wealth (e.g. stocks and bonds vs. jewelry). [read post]
29 Jul 2016, 6:03 am
Bail-in and Market Stabilization Posted by Wolf-Georg Ringe, Copenhagen Business School and the University of Oxford, on Friday, July 22, 2016 Tags: Bailouts, Banks, Central banking, Failed banks, Financial crisis, Financial institutions, Financial regulation, Liquidity,Market reaction, Resolution authority, SIFIs, Too big to fail Commonsense Principles of Corporate Governance Posted by Margaret Popper, Sard Verbinnen & Co, on Friday, July 22, 2016 Tags: Board independence, Board… [read post]
12 Jul 2016, 8:12 am
The recent season of OITB has been covered a fair amount by media, with analyses published by the New Yorker, the New York Times and the Washington Post, to name a few (spoilers within these links!). [read post]
6 Jul 2016, 9:49 am
DiVenuto (CRD #2513921, Newburgh, New York)DiVenuto consented to the sanction and to the entry of findings that he willfully made misrepresentations and omissions to an individual in connection with the individual’s purchase of an outside business entity’s stock in exchange for the intellectual property rights to a non-securities product owned by the individual. [read post]
22 Jun 2016, 2:54 pm
District Court in the Southern District of New York, the SEC alleges that in April and May, Idris Dayo Mustapha hacked into numerous accounts of U.S. customers of broker-dealers in and outside the U.S. [read post]
20 Jun 2016, 6:41 am
In April 2004, the New York Attorney General (AG) investigated “contingent commission” arrangements by which insurance brokers steered clients to particular insurers. [read post]
20 Jun 2016, 5:00 am
The petitioner was convicted of securities fraud and conspiracy to commit securities fraud, and the Southern District of New York denied a motion for a judgment of acquittal or a new trial, finding that U.S. v. [read post]
16 Jun 2016, 2:48 pm
In short order, Morgan Stanley traced the breach to Marsh, a financial adviser working out of its New York offices. [read post]
16 Jun 2016, 10:26 am
DiVenuto (CRD #2513921, Newburgh, New York) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. [read post]
15 Jun 2016, 8:08 am
Calamari, Director of the SEC’s New York Regional Office. [read post]
10 Jun 2016, 6:15 am
Mirvis, Wachtell, Lipton, Rosen & Katz, on Friday, June 3, 2016 Tags: Acquisition agreements, Acquisition premiums, Arbitrage, Delaware cases, Delaware law, Fair values, Leveraged acquisitions, Management, Merger litigation, Private equity, Shareholder value The Effect of Staggered Boards on Stock Value: New Evidence Posted by Yakov Amihud, New York University Stern School of Business, on Saturday, June 4, 2016 Tags: Airgas v. [read post]
8 Jun 2016, 9:53 am
Attorney’s Office for the Southern District of New York. [read post]
8 Jun 2016, 8:26 am
The Securities and Exchange Commission today announced that it has barred a former corporate vice president and suspended a former controller behind false accounting at a New York-based electronics company. [read post]
7 Jun 2016, 3:58 pm
., have filed a petition with the Supreme Court of the United States asking for the Court to address wildly different practices followed by federal district courts in California and New York when it comes to motions to remand Section 11 cases that had initially been filed in state court. [read post]
6 Jun 2016, 6:48 am
More than ten years have passed since the New York Stock Exchange (NYSE) began requiring annual evaluations for boards of directors and “key” committees (audit, compensation, nominating/governance), and many NASDAQ companies also conduct these evaluations annually as a matter of good governance. [1] With boards now firmly in the routine of doing annual evaluations, one challenge (as with any recurring activity) is to keep the process fresh and… [read post]
3 Jun 2016, 1:22 pm
Birnbaum of the New York Regional Office. [read post]
1 Jun 2016, 1:48 pm
The case stemmed from the work of the Enforcement Division’s Broker-Dealer Task Force, led by Associate Director Antonia Chion and New York Regional Office Director Andrew M. [read post]
31 May 2016, 10:12 am
The Southern District of New York recently provided much-needed guidance on the issue. [read post]
