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Regulatory Enforcement
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News Article
Can A Possible Reg. FD Violation Turn Into An 8-K Breach?
Taub Stephen | February 23, 2003
That's one of the questions surrounding AFC Enterprises, the country's number two operator of fast-food chicken joints.
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News Article
Survey: Companies Avoiding Pro Forma Announcements
Compliance Week | June 17, 2003
At last week's annual conference of the National Investor Relations Institute, the results of a survey were released that show companies are attempting to avoid use of pro forma numbers in earnings statements.
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News Article
Discrepancy Between Fraud Perceptions, Incidence
Compliance Week | July 15, 2003
Though senior executives may be kept up at night by fears of financial misrepresentation, those crimes only constitute two percent of economic crimes.
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News Article
Governance Reform Latest Settlement Bargaining Chip?
Compliance Week | September 2, 2003
According to a recent report, a large number of shareholder litigation suits are being settled with issuers agreeing to adopt some type of corporate governance reform.
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News Article
Chance Of Lawsuit Increases; Rate Of Dismissals Slows
Compliance Week | November 25, 2003
The annual probability of facing a securities class action lawsuit has increased 40 percent since 1995.
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News Article
Siebel Faces Possible Second Regulation FD Action
Taub Stephen | November 25, 2003
Siebel CFO Ken Goldman and others allegedly disclosed material non-public information to a small group of analysts at a business dinner in May, and the SEC is now looking at taking its second "fair disclosure" enforcement action against the company.
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News Article
SOX May Not Be Having Impact On Class Action Filings
Compliance Week | February 10, 2004
A new study shows that Sarbanes-Oxley has had "no statistically significant impact" on class action filings, settlement values or recovery rates.
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News Article
First Whistleblower Regains Job Under Sarbanes-Oxley
Taub Stephen | February 10, 2004
The CFO of a tiny bank in a rural Virginia town appears to be the first individual to get back his job under the new whistleblower rules mandated by Sarbanes-Oxley.
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News Article
Litigation Update, With Hale And Dorr Senior Partners
Compliance Week | March 9, 2004
Two Hale and Dorr senior partners provide a reality check on how Sarbanes-Oxley is affecting class action filings, recent class action trends, and the potential for controls-related litigation.
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News Article
Executive Pay, Earnings Manipulation And Shareholder Litigation
Baruch College | April 1, 2004
Study by two professors at Princton and Baruch College examines the role of executive compensation in inducing management behavior that triggers
private securities litigation.
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