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5 Dec 2014, 5:00 am
Largest Derivative Lawsuit Settlements by Kevin LaCroix in the D&O Diary My purposes in posting this list are two-fold: first, in response to several requests, to share the information I have; and two, to encourage others who may have different or additional information to share the information so that I can update or supplement the list as appropriate. [read post]
10 Jun 2016, 7:16 am
[More…] Prostitutes, vacations and cash: The Navy officials ‘Fat Leonard’ took down by Craig Whitlock and Kevin Uhrmacher in The Washington Post Leonard Glenn Francis, a Malaysian defense contractor, has pleaded guilty to bribing “scores” of Navy officials with cash bribes, prostitutes and other gifts – such as hotel stays, airfare and electronics – so they would feed him classified or inside information, which he used to defraud the Navy. [read post]
5 Oct 2018, 6:00 am
Appellate Court: Coverage Precluded for Disgorgement “Penalty” by Kevin LaCroix in the D&O Diary In the latest development in nearly decade-long legal battle, a New York intermediate appellate court has held in light of the U.S. [read post]
30 Jun 2017, 6:00 am
”[More…] Supreme Court to Review Whether Dodd-Frank Anti-Retaliation Provisions Protect Internal Whistleblowers by Kevin LaCroix in The D&O Diary [Y]ou might well have overlooked the fact that on Monday the Court also agreed to take up the question of whether or not the Dodd-Frank Act’s anti-retaliation provisions apply to and protect individuals who did not make a whistleblower report to the SEC. [read post]
11 Aug 2017, 6:00 am
by Brian Wallheimer in the Chicao Booth Business Review In a study of SEC lawyers, University of Washington’s Ed deHaan, Rutgers University’s Simi Kedia, Nanyang Technological University’s Kevin Koh, and Columbia University’s Shivaram Rajgopal find that lawyers who left the agency for private law firms were more aggressive than their peers, as evidenced by settlements. [read post]
29 Mar 2019, 3:00 am
In the same message, he said current employees would be getting pay increases averaging 2.4 percent, acknowledging that the boost might disappoint some workers because it’s less of a jump than they’ve gotten in recent years. https://www.bloomberg.com/news/articles/2019-03-21/sec-pay-raise-plan-gets-cold-shoulder-from-agency-union-leaders Insider Trading and Executive Overreach By Kevin R. [read post]
27 Jun 2014, 6:05 am
Court fight bares SEC insider-trading probe by Kevin McCoy in USA TODAY SEC investigators are probing whether anyone on Capitol Hill improperly leaked information about the federal Centers for Medicare & Medicaid Services’ final decision on 2014 rates the federal government would pay insurers that offer private Medicare plans. [read post]
29 Apr 2016, 8:32 am
by Kevin LaCroix in the D&O Diary This often-overlooked observation is important, but it doesn’t address the more fundamental question of why there are so many fewer publicly traded companies than there once were. [read post]
17 Feb 2017, 6:00 am
[More…] Ninth Circuit: Ethics Code Violations Insufficient to State Securities Law Claim by Kevin LaCroix in The D&O Diary The Ninth Circuit, in a recent case arising out the departure of former H-P CEO Mark Hurd for alleged misconduct, examined whether a senior official’s violation of a company’s ethics code, after having touted the company’s high standards for ethics and compliance, may state a claim for violation of the federal securities laws. [read post]
20 Jul 2018, 6:03 am
.: Crime Policy’s Computer Fraud Section Covers Email Scheme Losses by Kevin LaCroix in The D&O Diary In the second policyholder-favorable federal appellate court decision on the issue in a matter of days, the Sixth Circuit has held that the Computer Fraud provisions of a commercial crime policy cover a company’s losses from an email payment instruction fraud scheme. [read post]
26 Aug 2016, 6:00 am
[More…] The SEC Wants You to Know that It Intends to Protect Whistleblowers’ Rights by Kevin LaCroix in the D&O Diary The SEC has long made it clear that it intends to protect whistleblowers and to suppress activities it believes will have the effect of discouraging whistleblower activity. [read post]
21 May 2015, 5:00 am
[…more] The Anti-Corruption Enforcement Problem by Kevin LaCroix in the D&O Diary While the enforcement of anti-corruption laws is to be applauded, at the same time, questions are being asked about whether in at least some cases things might have come too far, as the enforcement process has become astronomically expense and time-consuming. [read post]
28 Feb 2020, 1:00 am
https://clsbluesky.law.columbia.edu/2020/02/25/why-financial-regulation-keeps-falling-short/ A Closer Look at Warren Buffett’s Annual Letter to Berkshire Shareholders by Kevin M. [read post]
4 May 2018, 6:00 am
[More…] Ninth Circuit: No Crime Policy Coverage for Social Engineering Fraud Losses by Kevin LaCroix in the D&O Diary Aqua Star is a seafood importer. [read post]
17 Nov 2017, 6:00 am
[More…] Wall St. traders secretly used chat rooms to rig Treasury bond prices: suit by Kevin Dugan The new accusations, leveled by several pension funds and wealthy individual investors, are contained in an expanded class-action suit originally filed in July 2015 — and include an unusual twist: Some of the evidence came from confidential informants and one of the banks sued in the earlier action. [read post]
17 Aug 2018, 6:01 am
[More…] Crime Policy Doesn’t Cover Employee Credit Card Overcharge Losses by Kevin LaCroix in The D&O Diary A recent coverage dispute involving a Nevada club’s losses resulting from its employees’ theft from the club’s customers’ credit cards raises interesting issues with implications for coverage questions for other kinds of losses for which policyholders are seeking crime policy coverage. [read post]
18 Sep 2016, 11:16 am
’ Simmons & Simmons partner Kevin Mooney, one of the people who commissioned the report, said it has now been sent to the UK politicians. [read post]
17 Sep 2021, 12:50 am
Court Substantially Denies Boeing Duty of Oversight Claim Dismissal MotionBy Kevin LaCroixThe D&O Diary Of particular interest is Vice Chancellor Zurn’s conclusion that the plaintiffs had sufficiently alleged scienter — that is, not only that the directors acted inconsistently with their fiduciary duties, but they also “knew of their shortcomings. [read post]
4 Jan 2013, 5:00 am
Top Ten D&O Stories of 2012 by Kevin LaCroix in The D&O Diary The year just finished included dramatic and important developments involving elections, tragedies and natural disasters. [read post]
25 Nov 2016, 12:51 am
Nappinai of Mumbai ('Jurisdictional Hurdles in Enforcing IP') and Kevin Erdman of Brannon, Sowers & Cracraft, who explained the US trend towards rejecting software patents for abstractness. [read post]
