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Browse: Home / Studies

Studies

Using ETFs to Conceal Insider Trading by Elza Eglite, Dans Štaermans, Vinay Patel and Talis Putninš — SSRN

By Securities Docket on February 2, 2023, 6:01 pm

We show that exchange traded funds (ETFs) are used in a new form of insider trading known as “shadow trading.” Our evidence suggests that some traders in possession of material non-public information about upcoming M&A announcements trade in ETFs that contain the target stock, rather than trading the underlying company shares, thereby concealing their insider […]

Posted in Industry, Top | Tagged ETFs, Studies

Just How Common Is Corporate Fraud? – The New York Times

By Securities Docket on January 14, 2023, 11:57 am

Mr. Dyck is a professor of finance at the University of Toronto, who just published a provocative new study on the pervasiveness of corporate fraud. The study has been passed around in the world of academia in recent weeks, and has become a fascination among general counsels, corporate leaders and investors. It suggests that only […]

Posted in Industry, Top | Tagged Studies

Securities Suit Filings at Historically High Levels During 2017 | The D&O Diary

By Securities Docket on January 2, 2018, 10:05 am

More securities class action lawsuits were filed in 2017 than in any year since 2001, in significant part because of the substantial number of federal court merger objection lawsuit filings during the year. But even disregarding the merger suits and looking only at the traditional securities lawsuits, the number of lawsuit filings was at the […]

Posted in Class Actions, Top | Tagged Studies

Securities Suit Filings at Historically High Levels During 2017 | The D&O Diary

By Securities Docket on January 2, 2018, 10:05 am

More securities class action lawsuits were filed in 2017 than in any year since 2001, in significant part because of the substantial number of federal court merger objection lawsuit filings during the year. But even disregarding the merger suits and looking only at the traditional securities lawsuits, the number of lawsuit filings was at the […]

Posted in Class Actions, Top | Tagged Studies

The Securities Litigation Storm is Already Here | The D&O Diary

By Securities Docket on November 28, 2016, 10:14 am

In an interesting post on his D&O Discourse blog earlier this fall (here), Doug Greene of the Lane Powell law firm raised the question whether there is a securities litigation storm brewing. Citing a number of different factors ranging from the SEC whistleblower program to changes in the plaintiffs’ bar, Greene suggested that we could […]

Posted in Class Actions, Top | Tagged Studies

Sept. 10 Webcast: Gauging Investor Exposure One Year After Halliburton

Sept. 10 Webcast: Gauging Investor Exposure One Year After Halliburton

By Securities Docket on July 6, 2015, 1:38 pm

Please join Professor Stephen E. Christophe, Ph.D., and Nessim Mezrahi for this free webcast.

Posted in Class Actions, Industry, Top | Tagged Halliburton, Studies, Webcasts

CFOs With Big Signatures More Likely to Misreport — CFO.com

By Securities Docket on March 31, 2015, 4:20 pm

Regulators on the lookout for financial misreporting may have a new investigative weapon — the size of the CFO’s signature. According to a new study, finance chiefs who are narcissistic are more likely to engage in misreporting and if they have large, self-important signatures, that “predicts misreporting” through the association of signature size with narcissism. via […]

Posted in Industry, Top | Tagged Studies

Pension funds don’t really value right to sue for fraud – new study — On the Case

By Securities Docket on January 31, 2015, 9:50 am

But a forthcoming paper in the Journal of Legal Studies by a Berkeley law professor says that pension funds don’t seem to be putting their money where their mouths are. According to study author Robert Bartlett, there’s an apparent gap between institutional investors’ adamant advocacy for shareholder class actions and their actual trading decisions. via […]

Posted in Class Actions, Top | Tagged Institutional Investors, Studies

Yet Another Study Debunks ‘Revolving Door’ Worries | Compliance Week

By Securities Docket on October 1, 2014, 4:30 pm

The latest study on the “revolving door” finds that future career prospects motivate SEC enforcement lawyers to be more aggressive during their time at the SEC, not less. via Yet Another Study Debunks ‘Revolving Door’ Worries | Compliance Week

Posted in SEC, Top | Tagged Revolving Door, Studies

Study asserts startling numbers of insider trading rogues — NY Times

By Securities Docket on June 17, 2014, 8:45 am

A quarter of all public company deals may involve some kind of insider trading, according to the study by two professors at the Stern School of Business at New York University and one professor from McGill University. The study, perhaps the most detailed and exhaustive of its kind, examined hundreds of transactions from 1996 through […]

Posted in Criminal, SEC, Top | Tagged Insider Trading, Studies

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