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Even Whistleblowers Must Pay the Piper

USA - April 12 2016 In a heavily redacted decision issued on April 5, 2016, the SEC approved the claim of one whistleblower and denied the claim of another for providing…

Katherine L. Maco, Alexis Yee-Garcia.

SEC Speaks - What to Expect in 2016

USA - February 23 2016 The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks…

Amy M. Ross, Gregory Beaman.

Overstock Digital Wars: A New Market Awakens

USA - December 22 2015 On the eve of the much anticipated release of Star Wars: The Force Awakens, the SEC approved Overstock Inc.’s plan to issue digital shares. The…

Katherine L. Maco, Blake Osborn.

Shareholder books and records requests to become more frequent, and more potent

USA - August 9 2013 As we previously detailed, a shareholder's request for corporate books and records can raise competing concerns for the company and its directors. On…

M. Todd Scott, Alex Talarides.

Texas court rules that regardless of fault, CEOs and CFOs will have to pay up Under Sarbanes-Oxley Section 304

USA - November 20 2012 A Texas federal judge denied defendants ArthoCare CEO Michael A. Baker and CFO Michael T. Gluk’s motion to dismiss the SEC’s claim against them under Sarbanes-Oxley (“SOX”) Section 304’s clawback provision.

Charles J. Ha, Christine M. Louie.