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Post Frequency: 38.1/day

Last Entry: March 31, 2011 at 16:18:26

UK Appeals Court Upholds SEC Freeze on Assets of UK Citizen

Posted on January 28, 2009
On January 28, 2009, the Supreme Court of Judicature Court of Appeal in the United Kingdom dismissed the appeal of Glenn Manterfield, a citizen of the United Kingdom, of an order by a British court freezing Manterfield's assets. The High...

SEC Suspends under Rule 102(e) Attorney Suspended under State Law for Non-Payment of Dues

Posted on January 28, 2009
A cautionary tale: On January 27, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions against Arthur P. Hipwell. The Order finds that Hipwell has...

SEC Alleges Nashville Financial Planner Told Customers They Invested in TARP Program

Posted on January 28, 2009
On January 28, 2009, the SEC filed a complaint seeking emergency relief ("Complaint") in the United States District Court for the Middle District of Tennessee against Gordon B. Grigg ("Grigg") and ProTrust Management, Inc., d/b/a ProTrust Management Group, LLC d/b/a...

SEC Enforcement and OCIE Directors Testify on Madoff

Posted on January 27, 2009
Both Linda Chatman Thomsen, SEC Director of Enforcement, and Lori Richards, Director of OCIE, testified today before the United States Senate Committee on Banking, Housing and Urban Affairs about the Madoff scandal. In her written statement, Ms. Thomsen does not...

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Schapiro is new SEC Chair

Posted on January 27, 2009
Mary Schapiro was sworn in today as the SEC Chair. She has a tough job ahead of her, and I wish her the best.

Cuomo Issues Subpoenas to Thain on Merrill Lynch Bonuses

Posted on January 27, 2009
STATEMENT FROM ATTORNEY GENERAL ANDREW CUOMO REGARDING NEW DEVELOPMENTS IN INVESTIGATION OF MERRILL LYNCH BONUSES AND BANK OF AMERICA: "Today, as part of our ongoing inquiry into executive compensation issues at institutions who have received TARP funds, my Office issued...

FINRA's Interim CEO Testifies on Madoff

Posted on January 27, 2009
Stephen Luparello, Finra's Interim CEO, also testified at the Senate hearing on the Madoff scandal. In his remarks, he emphasized that Finra only regulated Madoff's broker-dealer firm and has no regulatory authority over investment advisors. He also stated they received...

Aguilar on the Future of the SEC

Posted on January 27, 2009
SEC Commissioner Luis A. Aguilar spoke at the Investment Company Institute?s Board of Governor?s Winter Meeting on Jan. 26. In his remarks, he addressed the need for independent funding for the agency and the need to close loopholes in regulation,...

Schapiro's Responses to Some Questions by Senator Levin

Posted on January 26, 2009
Senator Carl Levin has posted on his website Mary Schapiro's responses to a list of questions the Senator submitted to her about her vision for the SEC. Here are some excerpts: Current SEC Chair Christopher Cox has indicated that he...

SEC Staff Releases Revised Interpretations on Rule 13e-3

Posted on January 26, 2009
The SEC's Division of Corporation Finance posted on the SEC website Compliance and Disclosure Interpretations (?C&DIs?) that comprise the Division?s interpretations of Exchange Act Rule 13e-3 as it applies to ?going private? transactions and related Schedule 13E-3...

SEC Staff Compliance & Disclosure Interpretations -- Securities Act

Posted on January 26, 2009
SEC Division of Corporation Finance posted on the SEC website its Compliance and Disclosure Interpretations (?C&DIs?) that comprise the Division?s interpretations of the rules adopted under the Securities Act. Some of these C&DIs were first published in prior Division publications...

Former Enron Inhouse Counsel Settle SEC Charges

Posted on January 26, 2009
On January 20, 2009, the U.S. District Court in Houston entered final judgments in the SEC's civil action against Jordan H. Mintz, a former Enron Vice President and General Counsel of Enron's Global Finance group, and Rex R. Rogers, Enron's...

Davidoff on Regulatory Reform

Posted on January 25, 2009
Filling Gaps and Black Holes: Restructuring the Financial Regulatory Apparatus for the Next Crisis (Written Testimony for the Senate Homeland Security and Governmental Affairs Committee Hearing on the Adequacy of the U.S. Financial Regulatory System), by Steven M...

Erickson on Corporate Misconduct & Shareholder Litigation

Posted on January 25, 2009
Corporate Misconduct and the Perfect Storm of Shareholder Litigation, by Jessica Erickson, University of Richmond School of Law, was recently posted on SSRN. Here is the abstract: When it comes to combating corporate misconduct, is more litigation necessarily better? The...

Horwich on Disclosure of Sick CEOs

Posted on January 25, 2009
When the Corporate Luminary Becomes Seriously Ill: When Is a Corporation Obligated to Disclose that Illness and Should the Securities and Exchange Commission Adopt a Rule Requiring Disclosure?, by Allan Horwich, Schiff Hardin LLP; Northwestern University - School of Law,...

Rochvarg on Regulation of Lawyers

Posted on January 25, 2009
Enron, Watergate and the Regulation of the Legal Profession, by Arnold Rochvarg, University of Baltimore - School of Law, was recently posted on SSRN. Here is the abstrat: The most famous scandal of the twentieth century was the Watergate scandal,...

Regulatory Reform Symposium at UCincinnati April 3

Posted on January 23, 2009
University of Cincinnati College of Law Corporate Law Center and Law Review's Twenty Second Annual Symposium: New Models of Regulating the Financial Markets: The SEC's Future as It Turns 75 April 3, 2009 8:00 a.m. ? 4:00 p.m. The U.S....

Cabevision Employees Settle "Prepay" Charges

Posted on January 22, 2009
The SEC filed a settled civil action against Catherine R. McEnroe, Noreen O'Loughlin and Martin von Ruden in United States District Court for the Eastern District of New York, alleging improper expense recognition at Cablevision Systems Corporation (Cablevision)...

GM Settles Pension Disclosure Charges

Posted on January 22, 2009
The SEC filed settled charges against General Motors Corporation (GM) relating to its disclosures concerning two pension accounting estimates and its projected cash contributions to its pension plans, as well as errors in its accounting for derivatives and various other...

SEC Gets Emergency Action Against Another Alleged Ponzi Scheme

Posted on January 21, 2009
Yet another alleged ponzi scheme -- On January 20, 2009, the U.S. District Court for the Northern District of Texas, Lubbock Division, appointed a receiver and froze the assets of a former bail bondsman who is purportedly managing a hedge...

SEC Issues Opinion in Revoking Registration for Failure to File Reports

Posted on January 21, 2009
The SEC issued an opinion that upheld the ALJ's decision ordering that the registration of NATURE?S SUNSHINE PRODUCTS, INC. common stock be revoked under section 12(j) for failure to file any required 10-K and 10-Q reports since it filed its...

SEC Seeks Emergency Relief Against Missing Hedge Fund Manager

Posted on January 21, 2009
It's hard keeping track of all the ponzi schemes that wealthy investors fell for, but you may recall that Sarasota Florida's Arthur Nadel, a hedge fund manager, vanished recently and so apparently did his clients' $350 million. NYDailyNews, Another Bernard...

Harris on Contested Corporate Elections

Posted on January 18, 2009
The Quiet Revolutionary: The Absence of Retail Investors in Contested Corporate Elections, by Lee A. Harris, University of Memphis - Cecil C. Humphreys School of Law, was recently posted on SSRN. Here is the abstract: Shareholder-led campaigns to install new...

Henderson on Two Visions of Corporate Law

Posted on January 18, 2009
Two Visions of Corporate Law, by M. Todd Henderson, University of Chicago - Law School, was recently posted on SSRN. Here is the abstract: In a recent paper, Professor Robert Ahdieh argues that the debate about whether corporate law federalism...

Choi & Silberman on Transnational Litigation

Posted on January 18, 2009
Transnational Litigation and Global Securities Class Actions, by Stephen J. Choi, New York University - School of Law, and Linda Silberman, New York University School of Law, was recently posted on SSRN. Here is the abstract: Courts apply a number...

SEC's 2008 Report

Posted on January 17, 2009
I am not certain when it was posted, but I just discovered the SEC's 2008 Report posted on its website, to "celebrate" the 75th anniversary of the SEC. It's pretty much a fluff piece and nary a tone of defensiveness...

SEC Bars Former Invesco Wholesaler for Market Timing Payments

Posted on January 17, 2009
On January 14, the SEC issued an administrative Order against Michael K. Brugman. The Order finds that from mid-2001 through December 2002, Brugman, who was at the time a wholesaler for Invesco Funds Group, Inc. (IFG), accepted personal payments totaling...

SEC Extends Deadline for Survey on 404

Posted on January 17, 2009
The SEC's Office of Economic Analysis (OEA) has extended the deadline to January 31 for public companies? participation in a Web-based survey about the costs and benefits of Section 404 of the Sarbanes-Oxley Act of 2002. The survey, which is...

SEC Files Complaint Against BarrierMed for Offering Fraud

Posted on January 15, 2009
The SEC filed a Complaint For Injunctive Relief today in the United States District Court for the Middle District of Florida against BarrierMed, Inc. (BarrierMed) and BarrierMed Glove Co. (BarrierMed Glove) (collectively, the Companies) and their founder and former chief...

Transcript of SEC's Small Business Capital Formation Program Available

Posted on January 15, 2009
The SEC has posted the record of proceedings of the TWENTY-SEVENTH ANNUAL SEC GOVERNMENT-BUSINESS FORUM ON SMALL BUSINESS CAPITAL FORMATION PROGRAM, held on November 20, 2008, at its website.

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