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20 Nov 2012, 12:54 pm
Facing the operational and financial challenges of meeting these mandates, many business leaders continue report significant concern about what they should do to respond to these requirements. [read post]
20 Nov 2012, 10:46 am
In 2012, The Office of the Whistleblower was established to administer the SECandrsquo;s whistleblower program formed in accordance with Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act and Section 21F of the Securities Exchange Act of 1934. [read post]
19 Nov 2012, 9:08 am
The most common whistleblower complaints involved corporate disclosures and financials (18.2%), offering fraud (15.5%), and manipulation (15.2%). [read post]
16 Nov 2012, 7:03 am
The SEC’s report, which is required by the Dodd Frank Wall Street Reform and Consumer Protection Act, summarizes the activities of the SEC’s Office of the Whistleblower. [read post]
11 Nov 2012, 7:10 pm
" The Securities and Exchange Commission's whistleblower program instituted in 2010 by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) rewards individuals who assist the SEC in uncovering securities violations including violations of the FCPA. [read post]
1 Nov 2012, 9:15 pm
” He then said he would hire Strickland at Wynnefield or help him get another job on Wall Street if Strickland were actually fired. [read post]
30 Oct 2012, 11:02 am
Litigation against major banks and Wall Street entities concerning the financial crisis of recent years has customarily named only corporate defendants, not individual employees of those firms. [read post]
28 Oct 2012, 8:03 am
That $5-7 trillion of lost savings did not come back, whereas financial assets and corporate profits did. [read post]
24 Oct 2012, 1:53 pm
The plaintiff's demand for books and records pursuant to Section 220 of the Delaware General Corporation Law followed publication in The Wall Street Journal of articles describing an investigation by the U.S. [read post]
24 Oct 2012, 11:08 am
Sues BofA Over Mortgage Sales, The Wall Street Journal, October 25, 2012 More Blog Posts: Ex-Bank of America Employee Pleads Guilty to Mortgage Fraud Scam Using Stolen Identities to Buy Homes Not For Sale, Institutional Investor Securities Blog, August 30, 2011 Bank of America to Pay $335M to Countrywide Financial Corp. [read post]
22 Oct 2012, 7:34 am
Smith Any landing is a good one if you can walk away from it, say the pilots with gallows humor, and that spirit animated the bankruptcy partial settlement just realized for Dewey & LeBeouf, as reported in the Wall Street Journal (October 9, 2012): It’s all for science A judge approved a $71.5 million settlement Tuesday with former partners of defunct law firm Dewey & LeBoeuf LLP, giving the green light to a plan whose speedy resolution could set… [read post]
19 Oct 2012, 6:29 am
WSJ Deal Journal: An up-to-the-minute take on the deals and deal makers that shape the landscape of Wall Street, including mergers and acquisitions, capital-raising, private equity and bankruptcy. [read post]
16 Oct 2012, 8:32 pm
Bush even further--he would ruin Medicare by turning it into "voucher-care" that was insufficient to meet vulnerable seniors' needs, and he would destroy Social Security by privatizing it so that seniors are at the whim of the stock market and Wall Street traders for their very livelihood. [read post]
15 Oct 2012, 6:09 am
The Dodd-Frank Wall Street Reform and Consumer Protection Act is getting ready to land its second regulatory punch to private equity funds. [read post]
5 Oct 2012, 3:52 pm
Similarly, here readers may be less likely to sell their stock in a company when they read about potential disclosure concerns on the Grumpy Old Accountants blog than, for example, on the front page of The Wall Street Journal. [read post]
4 Oct 2012, 11:16 pm
“The meetings led to some positive developments on nontariff barriers in the automotive sector,” The Wall Street Journal quoted Helene Banner, an EU spokeswoman, as saying in a report released May 3. [read post]
4 Oct 2012, 6:00 pm
News You Can Use: "Why We Are So Rude Online," answers Elizabeth Bernstein for The Wall Street Journal. [read post]
25 Sep 2012, 12:22 pm
Originally Published in Corporate Counsel (September 20, 2012) Last week’s outsized bounty award of $104 million to former UBS AG banker-turned-whistleblower Bradley Birkenfeld has commentators lighting up the Twitterverse with outrage and the Wall Street Journal calling Birkenfeld’s tale one of “sordidness piled on sordidness. [read post]
21 Sep 2012, 6:51 am
On August 22, 2012, the SEC adopted its final rule related to conflict minerals required by Congress under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”), which will require all public companies to implement complex new controls and procedural mechanisms, and in certain cases, conduct supply chain due diligence that could lead to new public disclosures. [read post]
19 Sep 2012, 5:40 am
http://bit.ly/NxatyI (Eric Johnson) Twitter Turns Over Wall Street Protester Posts Under Seal - http://bit.ly/SV0giY (Tiffany Katy) Under the Bonnet of Control Risks eDiscovery Engine - http://bit.ly/Nx8Xgh (Joanna Goodman) “We are in the World of eDiscovery 2.0… Now What? [read post]
