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ISS and Glass Lewis proxy voting policy updates for the 2015 proxy season

USA - January 29 2015 The proxy advisory firms ISS and Glass Lewis, recently announced updates to their respective voting policies for domestic companies for the upcoming...

Robert B. Murphy, Mark A. Metz.

The SEC and FINRA sync-up on M&A brokers

USA - April 9 2014 In a recent no-action letter, the SEC's Division of Trading and Markets opened the door for M&A brokers to effect securities transactions in...

Andrew H. Connor, Gerald T. Lievois, J. Michael Bernard, Thomas M. Cleary, John C. Dickey.

The 2016 Proxy Season: What’s Ahead?

USA - January 28 2016 As reported in our 2015 proxy alert, some activist shareholders and institutional investors have been pushing companies to allow long-term...

CEOs and CFOs beware: SOX can bite

USA - August 15 2014 On July 30, 2014, the SEC announced fraud charges against the CEO and former CFO of QSGI Inc. ("QSGI" or the "Company"), for misrepresenting to...

Robert B. Murphy.

Audit committee chairman sanctioned by SEC for failing to detect CEO's misappropriations

USA - March 26 2010 On March 15, 2010, the SEC brought charges against the former audit committee chairman of a public company for securities fraud and other violations of the federal securities laws....

Robert B. Murphy, Mark A. Metz.