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Research

NYSE firms more likely to commit financial fraud, study finds

By Securities Docket on February 5, 2021, 8:33 am

Researchers from a trio of universities (Washington State, Pennsylvania State, and Miami) studied 250 companies involved in Securities and Exchange Commission fraud filings from 2005 to 2013, and found that Fortune 500 companies were much more likely to have cooked books. Researchers looked closely for predictors of fraud, and found four risk factors : Fortune […]

Posted in Criminal, SEC, Top | Tagged Financial Fraud, Research

Stock Trades of SEC Employees — HLS Forum on Corp. Gov.

By Securities Docket on November 20, 2017, 10:46 am

These results are indicative of SEC employees being either: (i) skilled investors, (ii) lucky investors, or (iii) privately informed. We cannot confirm that our results are driven by trades on non-public information. While we do observe some unusual trading patterns around certain SEC activity (e.g., trading prior to enforcement actions and after whistleblower tips), several […]

Posted in SEC, Top | Tagged Research, Trading

Despite Record Low Number of Settlements in 2012, Securities Class Action Settlement Amounts Increase from 2011

Despite Record Low Number of Settlements in 2012, Securities Class Action Settlement Amounts Increase from 2011

By Securities Docket on March 22, 2013, 9:32 am

The 53 court-approved securities class action settlements reported in 2012 represent a 14-year low.

Posted in Class Actions, Top | Tagged Research

U.S. Securities Class Action Settlement Amounts Up 35% in 2009

U.S. Securities Class Action Settlement Amounts Up 35% in 2009

By Amanda Harding on March 24, 2010, 4:24 pm

Class action settlement amounts expected to continue to rise in 2010.

Posted in Class Actions, Industry | Tagged Reports, Research, sett

Quadrophobia: Study Suggests Companies Adjusting Financial Results Fractionally to Manage Earnings

Quadrophobia: Study Suggests Companies Adjusting Financial Results Fractionally to Manage Earnings

By Securities Docket on February 22, 2010, 9:48 pm

Study shows companies tend to bump earnings by a 10th of a cent or two to let them round results up.

Posted in Industry | Tagged Reports, Research

NERA Updates 'Trends in Canadian Securities Class Actions'

NERA Updates ‘Trends in Canadian Securities Class Actions’

By Securities Docket on January 29, 2010, 7:08 am

Study finds 2009 filings in Canada remained above historical average filings.

Posted in Global | Tagged Canada, Class Actions, Research

Report: Corporate Governance Problems Still Common in Indian Companies

Report: Corporate Governance Problems Still Common in Indian Companies

By Securities Docket on January 19, 2010, 9:36 am

New report on corporate governance in India finds lingering problems.

Posted in Global | Tagged India, Research

Audit Integrity Lists Companies Most Likely to be Shareholder Litigation Defendants in 2009

Audit Integrity Lists Companies Most Likely to be Shareholder Litigation Defendants in 2009

By Securities Docket on March 5, 2009, 10:50 am

Plaintiffs’ lawyers, put the following firms on your watch list: MetLife, Inc., Medtronic, Inc., Spectra Energy Corp., Hewlett-Packard Company, and Walgreen Company.

Audit Integrity, a financial research firm, announced today that out of the more than 7,500 publicly traded companies they rate in North America, the companies above were among the 60+ companies with the highest probability of being named as a defendant in shareholder litigation in 2009.

Posted in Class Actions | Tagged Features, Reports, Research

Carpenter Moore Study Finds Financial Services Cos. Now Pay Highest D&O Premiums

Carpenter Moore Study Finds Financial Services Cos. Now Pay Highest D&O Premiums

By Securities Docket on February 26, 2009, 4:23 pm

Carpenter Moore’s new “2008 Directors & Officers Liability Insurance Peer Benchmarking Report” finds that financial services companies now pay the highest average premiums for directors and officers (D&O) liability insurance, surpassing rates paid by life sciences and technology firms. Insurance Journal reports that this shift in D&O pricing trends accelerated in the fourth quarter of […]

Posted in Industry | Tagged D&O Insurance, Reports, Research | 1 Response

D&O Diary Introduces Running List of Stanford Group-Related Litigation

D&O Diary Introduces Running List of Stanford Group-Related Litigation

By Securities Docket on February 26, 2009, 6:49 am

Securities class actions against R. Allen Stanford and the Stanford Financial Group continue to pile up, and you know what that means:  The tireless Kevin LaCroix (pictured) of OakBridge Insurance Services is making another list. On Tuesday, LaCroix introduced a new list that he is maintaining at his tremendous D&O Diary blog of Stanford Group-related […]

Posted in Class Actions | Tagged Reports, Research

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