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BusinessWeek
September 17, 2009
Michael Orey |
Commentary: Do Shareholder Class Actions Make Sense? Not when they extract payments from innocent shareholders and let fraudsters off the hook.   |
InternetNews
January 6, 2005
Colin C. Haley |
Report: WorldCom Class-Action Accord Near Former directors said to settle a suit stemming from accounting fraud for a total of $54 million. |
BusinessWeek
November 10, 2003
Dwyer & Borrus |
The Coming Mutual-Fund Reforms As mutual-fund abuses mount, regulators and lawmakers promise tough new rules. |
CFO
January 30, 2004
Tim Reason |
Cheese It, the States! Corporate wrong-doers are finding state cops more aggressive than the feds. |
CFO
March 15, 2006
Anne Stuart |
Serenity Now! Board members worried about compliance-related lawsuits may want to revisit their directors' and officers' insurance policies. |
CFO
December 1, 2006
Alix Nyberg Stuart |
Should You Buy D&O ASAP? Directors' and officers insurance rates have dropped, but recent settlements may swing the pendulum in the other direction. |
CFO
December 1, 2002
David M. Katz |
Cover Me Anyone searching for D&O coverage will find it more expensive and less inclusive than ever before. |
The Motley Fool
September 21, 2004
Tim Beyers |
Franklin Can't Come Clean Massachusetts gets a $5 million settlement as the fund firm admits that an investor engaged in market timing. |
CFO
April 1, 2008
Russ Banham |
Retired but Not Forgotten How much D&O coverage do former officers and directors need? |
BusinessWeek
April 25, 2005
Henry et al. |
The Boss on the Sidelines Auditors, directors, and lawyers are asserting their new-age power, and the reason for their defiance is no great mystery. The watchdogs are finally facing genuine liability for their failures. |
CFO
February 1, 2006
Alix Nyberg Stuart |
Penalty Box The SEC is handing out bigger and bigger fines for misdeeds. But is this the right approach? |
The Motley Fool
January 7, 2005
Bill Mann |
Are Corporate Directors Next Against the Wall? Worldcom's Directors settle a landmark case by paying out of pocket. Meanwhile, Walter Forbes skates. |
National Defense
January 2009
Sandra I. Erwin |
Industry Braces for Bigger Crackdown on Corruption Federal regulators recently introduced new anticorruption rules that lawyers inside the Beltway have characterized as unprecedented in their scope and power. |
Financial Planning
August 1, 2008
Andrew Ackerman |
In First, Mass. Sues UBS In the first state-level lawsuit against an investment firm over auction-rate securities, Massachusetts has filed securities fraud charges against UBS for selling retail investors auction-rate paper as "liquid, safe, money-market" instruments even though the defendants knew it was not. |
The Motley Fool
April 21, 2004
Bill Mann |
Attack of the Killer Attorneys It's inevitable in every investor's career that he or she will hold a company that will attract class action lawsuits alleging some form of securities fraud. |
The Motley Fool
August 3, 2004
Tim Beyers |
Franklin's Unsettling Settlement The fund firm brokers a nearly meaningless deal with regulators. The $50 million penalty seems anything but serious when compared with the settlements agreed to by firms that have truly humbled themselves. |
CFO
October 1, 2003
Craig Schneider |
The Attorney's Dilemma Will the SEC's new and proposed rules to turn lawyers into whistle-blowers strain relations between finance executives and corporate counsel? |
Managed Care
January 2002
Donald Wilcox & Stephanie Kanwit |
Debating RICO Suits vs. Health Plans States Failed To Protect Docs From Insurers... Patients Will Suffer; Greedy Lawyers to Blame... |
CFO
Kris Frieswick |
Less for More Coping with the bear market in directors' and officers' liability insurance... |
U.S. Banker
July 2007
Karen Krebsbach |
Next for Top Court: Securities Fraud Whether banks that help public firms commit fraud are also liable soon will be a question before the Supreme Court. Its decision will affect litigants in the still-simmering Enron case. |
Registered Rep.
June 1, 2006 |
Blotter Broker Behind Bars... No Millions for Whistle-Blower... NASD Boots Violation Riddled Firm... |
CFO
April 1, 2004
Ronald Fink |
Playing Favorites Why Alan Greenspan's Fed lets banks off easy on corporate fraud. |
U.S. Banker
April 2010
Michael Sisk |
Boardroom Burdens Bank directors must be more hands-on than ever, exercising tighter control over management and setting strategic direction. Here are five issues that need attention now. |
The Motley Fool
June 5, 2007
Rich Duprey |
SEC Backs Scheme Liability In an effort to deflect the criticism that it's too pro-business, the SEC has decided to back a theory that may ultimately prove to be a particularly shareholder-hostile action. |
Entrepreneur
August 2005
Jane Easter Bahls |
Action Sacked A new law aims to protect you from class-action suits. Under the new law, all class-action lawsuits with plaintiffs from more than one state will have to be filed in federal courts, which tend to be less sympathetic than state courts to these suits. |
Financial Advisor
March 2012
Mike Byrnes |
Massachusetts Addresses Social Media Regulation Results from a July 2011 survey by the Massachusetts Securities Division found a significant growth trend in advisors using social media, but also found compliance deficiencies in existing social media regulations. |
Registered Rep.
May 14, 2007
Kevin Burke |
NASD Chair Sees Better Oversight of New Products Mary Shapiro told mutual fund executives she sees better regulation of investment products as a result of a merged NYSE and NASD. While this may be better news for investors, purveyors of mutual funds may find themselves in the crosshairs. |
BusinessWeek
November 7, 2005
Lorraine Woellert |
A Break For The Defense As doctors who validate tort claims come under scrutiny, business is on the offensive. |
BusinessWeek
January 8, 2007
Michael Orey |
How Business Trounced The Trial Lawyers By focusing on litigation reform at the state level, business has won key battles. Suddenly, it's a tough time to be a plantiffs' attorney. |
Registered Rep.
November 1, 2002
Rick Weinberg |
All in the Family Cases of brokers stealing from their clients are not unheard of. But, according to the Massachusetts Securities Division, a UBS PaineWebber broker gave the old crime of embezzlement a new twist. |
Registered Rep.
August 7, 2007
Kristen French |
Senior Fraud Crackdown Continues The second annual "Seniors Summit" is meant to examine ways in which regulators and other groups can help prevent the overwhelming amount of senior fraud being committed in the securities industry. |
CFO
March 1, 2011
Laton McCartney |
Where There's Smoke, There's Fraud Sarbanes-Oxley has done little to curb corporate malfeasance. Therefore, CFOs should implement a range of fraud-prevention measures. |
Investment Advisor
February 2009
Elizabeth D. Festa |
Industry Hit by Class Actions The subprime/liquidity crisis has led to 97 federal securities class action filings in 2008. |
Knowledge@Wharton
Richard Shell |
It's About Time: Corporate Responsibility Law Finally Makes Lawyers More Accountable Although the reputations of CEOs, accountants, bankers, analysts, and even consultants have suffered during the recent spate of corporate scandals, lawyers so far have escaped blame, let alone indictment. But that may change, as it should. |
Entrepreneur
February 2005
Jane Easter Bahls |
It's Settled A new law makes it easier to reach settlements in employment discrimination cases. |
BusinessWeek
August 9, 2004
Amy Borrus |
At The SEC, The Agony Of Compromise Chairman Donaldson is finding a deal on proxy reform elusive in an election year. Yet, despite competing pressures, his resolve shows no sign of waning. |
BusinessWeek
July 30, 2007 |
Another Risk Factor For Merck Plaintiffs' lawyers are salivating over evidence they hope could support their argument that even patients who used the painkiller for short periods were in danger. |
