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9 May 2024, 6:57 am
The remaining Q&As deal with disclosure matters and the time frame for applying the guidance to financial statements.Read the rest of the story and other securities news from Wolters Kluwer at VitalLaw.com. [read post]
23 Apr 2024, 6:48 am
By Anne Sherry, J.D.A pair of provisions inspired by Enron’s document destruction have applicability beyond the securities context. [read post]
8 Oct 2009, 10:09 am
The rule of thumb is: once deleted, no matter where or how, the message is gone. [read post]
5 Feb 2015, 8:08 am
Nelson, J.D.A week after Oppenheimer & Co. [read post]
3 Nov 2015, 5:00 am
Nelson, J.D.A federal judge in Manhattan added one more item to Argentina’s list of debt woes by ruling that a group of funds holding the country’s defaulted bonds can get specific performance of a key term in the bond agreement at issue in the case. [read post]
13 Sep 2016, 7:30 am
“More than twenty years after this litigation began, we think that outcome is untenable—both as a matter of basic fairness and pursuant to the legal principles that govern this procedurally complex appeal. [read post]
29 Apr 2015, 6:29 am
By Lene Powell, J.D.A panel of the Ninth Circuit affirmed the dismissal of a counterclaim alleging breach of fiduciary duty by directors of a California corporation with a Canadian parent company. [read post]
10 Dec 2015, 6:04 am
By Kevin Kulling, J.D.A group of corporate finance legal scholars is urging Congress to postpone acting on proposed amendments to the Trust Indenture Act of 1939. [read post]
11 May 2021, 10:43 am
"Our profession has a long way to go in matters of diversity, equity and inclusion," said IAA President & CEO Karen Barr. [read post]
28 Sep 2021, 6:01 am
Nelson, J.D.A Second Circuit panel unanimously affirmed a district court opinion dismissing claims by former Xerox Corporation CFO Barry Romeril that the consent agreement he entered into with the SEC more than decade ago was void under the Federal Rules of Civil Procedure because language in the agreement barred Romeril from publicly denying the allegations contained in the agency’s complaint. [read post]
25 Apr 2022, 6:18 am
Tonkovic, J.D.A district court approved a nearly $2 million civil penalty against a former accountant at Domino's pizza charged with insider trading. [read post]
6 Jun 2017, 5:00 am
By Anne Sherry, J.D.A terminated MetLife contractor who raised concerns about the pricing of insurance policies failed to plead a whistleblower retaliation claim under Sarbanes-Oxley. [read post]
18 Mar 2022, 7:45 am
By Anne Sherry, J.D.A group of eight U.S. [read post]
14 Sep 2020, 6:09 am
Tonkovic, J.D.A Third Circuit panel affirmed that a sovereign immunity barred a district court from hearing an action seeking to enjoin an SEC investigation. [read post]
11 Mar 2016, 4:29 pm
The matter is CFTC Docket No. 16-07. [read post]
5 Jun 2015, 3:20 pm
Tonkovic, J.D.A request by Charles L. [read post]
29 Sep 2016, 6:49 am
By Lene Powell, J.D.A federal district court erred in awarding partial summary judgment for the SEC in an enforcement action against a bank and its CEO for alleged disclosure and accounting fraud, the Eleventh Circuit ruled. [read post]
10 Jul 2017, 7:09 am
By Joanne Cursinella, J.D.A CPA who was terminated from Grant Thornton, LLP, allegedly for reporting fraudulent activity, could not sustain her whistleblower protection claim because working for a public company, without more, is insufficient to trigger Dodd-Frank whistleblower protections (Reyher v. [read post]
13 Nov 2014, 12:13 pm
[This story previously appeared in Securities Regulation Daily.]By Amanda Maine, J.D.A firm operating as an offshore crowdfunding platform agreed to pay a $25,000 civil monetary penalty to settle SEC charges. [read post]
20 Feb 2024, 6:24 am
By Anne Sherry, J.D.A New Hampshire Senate committee voted last week to recommend against an anti-ESG bill. [read post]
