CompanyCounselor: Securities fraud Archives

Securities fraud Archives

Feb19	Regulation FD Linda Chan February 19, 2008 Know More: Securities fraud Securities fraud, securities generally The following is not meant to be legal advice. Under Regulation FD, whenever a company spokesperson intends to make a material statement to market professionals or shareholders about the company that has not previously been disclosed publicly, the same information shall... Continue Reading Posted at 8:55 PM \| Permalink \| Comments
Jan16	Fraudulent Scheme Linda Chan January 16, 2008 The following is not meant to be legal advice. The United States Supreme Court held January 15, 2008 in Stoneridge Investment Partners, LLC v. Scientific Atlanta, Inc., that mere participation in a fraudulent scheme is insufficient to hold a party liable... Continue Reading Posted at 9:06 PM \| Permalink \| Comments
Oct12	Extending Exercise Period Linda Chan October 12, 2007 The following is not meant to be legal advice. Hypothetical: A former general counsel for a technology company in Oakland, CA knows of the company’s talks about a PIPE from the CFO. She leaves the company to take care of... Continue Reading Posted at 8:16 PM \| Permalink \| Comments
Jun25	Research on Section 16(b) Linda Chan June 25, 2007 The following is not meant to be legal advice. Some concepts learned in law school actually come up often when working in house. Take for example, laws on insider trading. All the study for the bar exam on Section 16(b)... Continue Reading Posted at 11:37 PM \| Permalink \| Comments
Jun24	Ryan v. Gifford Linda Chan June 24, 2007 The following is not meant to be legal advice. In Ryan v. Gifford (C.A. 2213-N, Feb. 6, 2007), the court refused to dismiss a shareholder suit. Stock option grant practices are subject of heightened scrutiny by the courts. The suit... Continue Reading Posted at 8:32 PM \| Permalink \| Comments
Apr25	In re CNET Networks, Inc. Shareholder Derivative Litigation, No. 3:06-cv-03817 Linda Chan April 25, 2007 The following is not meant to be legal advice. In In re CNET Networks, Inc. Shareholder Derivative Litigation, No. 3:06-cv-03817 (N.D. Cal. April 11, 2007), Judge William Alsup dismissed a shareholder derivative complaint against officers and directors of CNET Networks,... Continue Reading Posted at 8:08 PM \| Permalink \| Comments
	Backdating Rule 10b5-1 Why Have a 10b5-1 Trading Plan? Implementing 10b5-1 Plans Publicly Disclosing 10b5-1 Plans 10b5-1 Plan Practices Higher Returns with 10b5-1 Plans 10b5-1 Trading Plans and Securities Class Actions In re Initial Public Offering Securities Litigation, No. 05-3349 Securities Developments in California PSLRA Mandates Sanctions for Fed.R.Civ.P. 11(b) Violation, Holds Fourth Circuit Time Warner, AOL Settle Lawsuit SEC Announces Settlement with Tyco International SEC Charges Former & Current Goldman Sachs Employee with Insider Trading Safe Harbor Provision Side Agreements Securities Litigation Uniform Standards Act Preempts State Law Class Action Claims for Which Federal Law Provides No Private Remedy, Holds Supreme Court Insider Trading SEC Settles with Bear Stearns Today at the SEC Shareholder Litigation Update Monitoring the Criminal Trial of Enron's Jeffrey K. Skilling & Kenneth L. Lay Getting Caught in the Securities Fraud Web

Securities fraud Archives

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