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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
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
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
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. -
News Article
Airline Violated Whistleblower Provisions Of SOX
Compliance Week | May 11, 2004
A U.S. Department of Labor administrative law judge has ruled that Atlantic Coast Airlines must compensate a former employee after she was fired for blowing the whistle on alleged fraud.
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News Article
Court Overturns SEC's SOX-Based Payment Freeze
Compliance Week | May 18, 2004
Reversing an SEC decision that had been based on a section of Sarbanes-Oxley, a federal appeals court ruled last week that two former Gemstar-TV Guide executives could seek $37.6 million in severance payments and back pay.
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News Article
For Failure To Cooperate In Probe, Lucent Fined $25m
Compliance Week | May 18, 2004
Earlier this week, the SEC charged Lucent and nine current and former executives with securities fraud.
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News Article
SEC Fines Rise, But Not Everywhere; Law Suits Worse?
Compliance Week | June 2, 2004
Though a recent Reuters study found that the SEC has levied more than $500 million in fines this year, the data might not be as frightening for public companies as it sounds.
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News Article
SEC General Counsel Outlines Amicus Developments
Prezioso Giovanni | June 3, 2004
In a speech before the American Bar Association, SEC General Counsel Giovanni Prezioso shed some light on the Commission's amicus program, through which it intervenes in private securities litigation to present its point of view.
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News Article
If General Counsel Is Officer, Is Confidentiality At Risk?
Compliance Week | June 15, 2004
Important issues about the attorney-client privilege of general counsel may be emerging from the California courts.
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News Article
Let's Make A Deal: Litigation Driving Governance Policy Changes
Taub Stephen | June 15, 2004
Earlier this spring, Cendant Corp. agreed to settle a lawsuit that alleged the board had violated its fiduciary duties in approving an amended employment agreement with chairman and CEO Henry Silverman. While denying that their actions were improper, Silverman and the other defendants agreed to significantly alter his existing contract.
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News Article
Proxy Battle Shows Firms' Clout; Not Afraid Of A Fight
Taub Stephen | June 15, 2004
For the first time in more than decade, there has actually been a decrease in the number of proxy fights. Institutional Shareholder Services, the proxy advisory firm, counts just 10 this year, down from 41 last year. But that hasn't stopped Wynnefield Group's Nelson Obus.
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News Article
Will SOX Section 906 Be Dismissed?
Compliance Week | June 15, 2004
Back in April, the lawyers of former HealthSouth CEO Richard Scrushy filed a motion to dismiss three counts of his indictment related to Section 906 of Sarbanes-Oxley.
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News Article
SOX Under Assault: Lawyers Take Aim At Provisions
Taub Stephen | July 7, 2004
There is some evidence that lawyers are either beginning to chip away at The Sarbanes-Oxley Act of 2002, or at least are willing to challenge some of its provisions.
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News Article
Whistleblower Sues Former Company, $1.4b WCI
Compliance Week | July 7, 2004
$1.4 billion real estate developer WCI Communities announced that a former division president filed a whistleblower lawsuit against the company and top management.
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News Article
Why Would Siebel Challenge Reg. FD Charges?
Taub Stephen | July 13, 2004
When the SEC charged Siebel Systems with violating Regulation Fair Disclosure for the second time, the maker of business software enjoyed a couple of dubious firsts.
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News Article
Did the SEC Reward Stand-By Systems For Cooperating?
Taub Stephen | July 20, 2004
The SEC's notice dismissing a complaint against Stand-By Systems looks like the company got off the hook by cooperating with an investigation. But according to SEC regional administrator Hal Degenhardt, that wasn't exactly the case.
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News Article
Lerach Coughlin’s Robbins Plays Hardball With Governance Weapon
Taub Stephen | July 20, 2004
According to Darren Robbins, partner with the law firm Lerach Coughlin Stoia & Robbins, the increased number of companies agreeing to corporate governance changes as part of settlements with shareholders is “a growing trend.” He should know ...
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News Article
Broadcom Agrees To Allow Shareholders Nominate Directors
Taub Stephen | July 27, 2004
The folks at law firm Lerach Coughlin Stoia & Robbins LLP last week appeared to have hammered out their most significant governance-related settlement with shareholders when it resolved litigation with Broadcom Corp.
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