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Fine for lack of proper controls without allegations of improper payments
- Jenner & Block
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- USA
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- February 14 2013
Oracle Corp. will pay $2 million to resolve SEC allegations that the company's Indian subsidiary maintained $2.2 million in offbook "secret side
Emerging growth company offerings boosted by JOBS Act
- Jenner & Block
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- USA
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- February 14 2013
The Jumpstart Our Business Startup Act (JOBS Act) was enacted last year with the goal of promoting emerging growth companies (EGCs) by, in part
Failure to reveal internal investigation was not securities fraud
- Jenner & Block
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- USA
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- February 14 2013
In In re Boston Scientific Corp. Securities Litigation, 686 F.3d 21 (1st Cir. 2012) (No. 11-2250), a putative class action suit was brought by
Compliance Officer could not pursue retaliation claim under New York law
- Jenner & Block
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- USA
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- February 14 2013
In Sullivan v. Harnisch, 969 N.E.2d 758 (N.Y. 2012), the plaintiff was the Chief Compliance Officer for two hedge fund firms. He alleged that, in
District court rejects SEC settlement made on a “neither admit nor deny” basis
- Jenner & Block
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- USA
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- February 27 2012
Earlier this year, Judge Jed S. Rakoff, of the United States District Court for the Southern District of New York, questioned the legitimacy of the SEC’s practice of allowing a defendant to settle charges without requiring factual admissions of wrongdoing
Settlement for commission sharing by employees of acquired Chinese subsidiary
- Jenner & Block
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- USA
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- February 27 2012
Watts Water Technologies, Inc. (“Watts”), a Delaware-based manufacturer and retailer of water valve products, agreed to a cease-and-desist order with the SEC in connection with payments made by employees of a former Chinese subsidiary of Watts who had entered into commission-sharing agreements with employees of Chinese state-owned entities that were customers of the subsidiary
SEC charges bank executives with hiding large losses during 2008 financial crisis
- Jenner & Block
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- USA
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- January 31 2012
On October 11, 2011, the SEC charged three former bank executives with misleading investors about mounting loan losses at United Commercial Bank in 2008 and 2009
The SEC requires a CEO to repay incentive-based compensation after accounting staffers’ embezzlement causes company restatement
- Jenner & Block
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- USA
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- January 31 2012
On October 24, 2011, the SEC announced that it had filed a settled civil enforcement action requiring, under Section 304 of Sarbanes-Oxley, the CEO of a public company to repay all of his cash and equity-based bonus compensation received for three years the company restated
Current Search
- Firm Name - Jenner & Block
- Author - Jeffrey A. Koppy
- Author - Terrence J. Truax
- Workarea - Capital Markets