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5 Apr 2017, 3:29 am
Recently, I blogged about Brad Cook – who resigned as the SEC Chair when he got caught up in a securities fraud scandal & was temporarily disbarred in two states for lying to a grand jury in the case. [read post]
12 May 2010, 5:00 am
The case reminds me of the Hennessee Group action where the SEC brought an action against a hedge fund for failing to conduct adequate diligence. [read post]
6 Aug 2014, 2:56 am
In the announcement, the SEC stated that “[t]he whistleblower had tried on several occasions and through several mechanisms to have the matter addressed internally at the company. [read post]
27 Jul 2021, 12:35 pm
Of course you can always contact me, Joe Rosenbaum, or the Rimon Law lawyer with whom you regularly work. [read post]
4 Jan 2009, 4:34 am
One thing in particular jumped out at me, because it resembled an earlier NY Times story on a 2004 SEC rule change: To that end consider the strange story of Harry Markopolos. [read post]
9 May 2013, 3:57 pm
"What is the reputation of the company selling the product to me?" [read post]
25 Jun 2015, 9:16 am
Plaintiff claimed that SEC ALJ’s were inferior officers because they exercised “significant authority pursuant to the laws of the United States. [read post]
2 Dec 2008, 9:47 pm
” SEC Director of Enforcement Linda Chatman Thomsen stated, “Don brings to this job a long record of accomplishment. [read post]
10 Jan 2019, 3:12 am
Daddy, tell me a bedtime story. [read post]
1 Jun 2009, 2:15 am
He has filed a complaint in federal court alleging that the SEC has violated the Freedom of Information Act in connection with his requests to them under the Act.Having dealt with the SEC and FOIA requests in the past, his allegations do not surprise me. [read post]
12 Jan 2023, 12:15 am
It is unclear to me why the SEC believes that D.C. [read post]
7 Feb 2023, 9:05 pm
Transparency for thee, not for me. [read post]
17 Feb 2007, 8:39 am
How many securities transactions are conducted in the United States? [read post]
18 Mar 2024, 4:10 am
One interesting thing for me about this whole situation is that I can distinctly remember the days when the US Court of Appeals for the District of Columbia Circuit was the court that often determined the outcome of challenges to SEC rules. [read post]
11 Jan 2022, 3:55 am
Join me tomorrow for what promises to be a very interesting discussion of the SEC’s recent proposals on our webcast “Rule 10b5-1 & Buybacks: Practical Impacts of SEC’s Proposals. [read post]
9 Sep 2011, 4:08 am
For me, this debate should not only focus on potential conflicts of interest, it should also raise the specter of insider trading. [read post]
6 Aug 2011, 1:53 pm
Commissioner Casey really hit her stride with a uniquely prescient warning about the SEC’s 2010 proxy access rule when it was adopted: Let me start with an observation and a prediction. [read post]
19 May 2015, 3:42 am
So last week was Christmas for me as this fake Schedule TO about a $8 billion takeover bid caused a stir and caused Avon’s stock to tank (see this DealBook piece). [read post]
2 Oct 2009, 8:37 am
“Defacto intentional” strikes me as such a phrase. [read post]
2 Feb 2012, 7:00 am
" The SEC did NOT state that the independent contractor model required greater supervision than other models. [read post]
