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You are browsing the archive for November 2011.
Former CEO to Return $2.8 Million in Bonuses and Stock Profits Received During CSK Auto Accounting Fraud
Settlement reached in Maynard Jenkins “clawback” case.
Pipeline Financial’s Top Officers Leave in Wake of ‘Dark Pool’ Case
Pipeline Chairman Alfred Berkeley and Chief Executive Fred Federspiel agreed to step down earlier this month.
SEC Whistleblower Tips: A Sneak Peek
New report offers details on nature and origin of tips the agency is receiving as part of the whistleblower program.
Securities Docket News Wire for Nov. 16, 2011
Get caught up with the Securities Docket News Wire for Nov. 16, 2011.
Senator Brown Introduces Bill Aimed at Prohibiting Insider Trading in Congress
Senator Scott Brown will introduce the Stop Trading on Congressional Knowledge (STOCK) Act of 2011.
The Congressional Insider Trading Cycle: Could It Be Different This Time?
Might Congress finally act on a law to outlaw insider trading by its members?
Securities Docket News Wire for Nov. 15, 2011
Get caught up with the Securities Docket News Wire for Nov. 15, 2011.
IU legal expert: Insider trading by Congress is illegal, contrary to ’60 Minutes’ report
Conventional wisdom that members of Congress are immune from insider trading laws is “simply wrong,” says law professor.
Addressing The “Luncheon Law” Nature Of The FCPA
To really learn about FCPA enforcement, one has to attend luncheons during which the enforcement agency officials speak.
Merrill Lynch Wins Appeal of Auction-Rate Securities Case
Second Circuit affirms dismissal of investor suit over auction-rate securities.