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“What, me worry?” Yes, the securities laws apply to private companies!

Blank Rome LLP
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USA
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January 30 2012

In a case that should serve as a warning to the owners, directors and officers of privately-held companies that offer equity plans to their employees, on December 12, 2011, the SEC filed suit against Stiefel Laboratories, Inc. (at the time of the alleged misconduct, the world’s largest privately held manufacturer of dermatology products and now a subsidiary of GlaxoSmithKline PLC) and Charles Stiefel, the then controlling shareholder, chairman and CEO

9th Circuit: CFO’s statements to counsel in an internal investigation can be used at trial

Pillsbury Winthrop Shaw Pittman LLP
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USA
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October 8 2009

In highlighting the "treacherous path which corporate counsel must tread under the attorney-client privilege when conducting an internal investigation," the Ninth Circuit recently held that statements made by a chief financial officer to outside counsel could be used in a subsequent criminal action against the officer because he knew his statements would be disclosed to the company’s outside auditors

Court refuses to lift PSLRA discovery stay

Katten Muchin Rosenman LLP
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USA
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April 18 2008

Plaintiffs brought a shareholder derivative action, claiming the officers and directors of Asyst Technologies, Inc. (Asyst) violated federal and state securities law by backdating stock options and making false filings with the Securities and Exchange Commission

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Jurisdiction - USA
Workarea - Employee Benefits & Pensions
Workarea - Company & Commercial
Workarea - White Collar Crime
Workarea - Capital Markets

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“What, me worry?” Yes, the securities laws apply to private companies!

9th Circuit: CFO’s statements to counsel in an internal investigation can be used at trial

Court refuses to lift PSLRA discovery stay

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