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Results: 1-10 of 121

SEC officer director bars: by what standard?

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • May 16 2013

Sometimes it can be difficult to determine if you actually won. This may be the case for the SEC with the Second Circuit's ruling in SEC v. Bankosky

Competing approaches to FCPA enforcement: recent cases diverge

  • Morvillo Abramowitz Grand Iason & Anello PC
  • -
  • USA
  • -
  • April 5 2013

It happens very rarely. Two judges in the same federal district court simultaneously have SEC cases before them involving alleged violations of the

Pay-to-play: NJ indictments offer a reminder on compliance

  • Venable LLP
  • -
  • USA
  • -
  • April 1 2013

When we talk about pay-to-play, we often think about making sure that executives do not make inadvertent contributions that run afoul of a state's

Why so few individuals? Government's prosecution of corporate misconduct

  • Morvillo Abramowitz Grand Iason & Anello PC
  • -
  • USA
  • -
  • March 5 2013

A company pleads guilty or settles civil charges and makes a large payment to the government. The government condemns the egregious corporate

Release of claims “known or unknown” bars unknown fraud claims

  • Wilk Auslander LLP
  • -
  • USA
  • -
  • March 4 2013

A New York court recently held that a general release releasing claims "whether known or unknown" covered fraud claims of which the plaintiffs were

District court requires SOX plaintiff to assert shareholder fraud, consistent with statute’s purpose

  • Proskauer Rose LLP
  • -
  • USA
  • -
  • January 17 2013

The U.S. District Court for the District of North Carolina recently dismissed a plaintiff's Sarbanes-Oxley whistleblower complaint on the ground that

Why can’t a company go to trial?

  • LeClairRyan
  • -
  • USA
  • -
  • November 15 2012

The underpinning of the Justice Department’s criminal prosecutions program against companies is based on a simple premise a company has to negotiate a pre-indictment settlement to avoid the catastrophe which occurred to Arthur Andersen in 2002

Federal court to rule on challenge to use of former officer's interview statements in corporate internal investigation

  • Calfee Halter & Griswold LLP
  • -
  • USA
  • -
  • November 2 2012

In a criminal case alleging multimillion-dollar securities and accounting fraud brought against the former Executive Vice President of Sales of Carter’s Inc., a Georgia federal court is poised to determine whether allegedly incriminating statements given in the course of interviews that were part of an internal investigation conducted by the Audit Committee of the Board of Directors with the assistance of outside counsel and forensic accountants should be admitted as evidence against him in his upcoming trial

Insider trading and determinations by the company

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • October 22 2012

In SEC v. Obus, Docket No. 10-4749 (2nd Cir. Decided Sept. 6, 2012) the Circuit Court found that the defendants could be held liable for insider trading despite the fact that the company concluded they had not breached any duty

Appellate court finds choice-of-law clause does not trump territorial limitations of a consumer fraud action

  • Masuda Funai Eifert & Mitchell Ltd
  • -
  • USA
  • -
  • September 7 2012

Recently, the Second District of the Illinois Appellate Court affirmed the trial court’s dismissal of a claimed violation of the Illinois Consumer Fraud Act (the “CFA”) because the alleged violation did not primarily take place in Illinois

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