C-Suite Executives

News & Analysis as of

Justice to Target Corporations and C-Suite Executives in the Healthcare Industry

On Thursday, May 14, 2015, at a meeting of the American Bar Association’s Healthcare Fraud Section, Leslie Caldwell, the Assistant Attorney General for the Department of Justice (DOJ) Criminal Division, declared stamping out...more

A is for…Arbitration: Can A Non-Signatory To A Contract Enforce An Arbitration Provision In That Contract?

A corporate client is engaged in arbitration with a third party pursuant to an arbitration provision in the contract between the parties. An executive signed the contract “on behalf of” the company, but did not sign the...more

District Court Denies Motion to Dismiss Securities Class Action Against Urban Outfitters

The US District Court for the Eastern District of Pennsylvania recently denied a motion to dismiss filed by Urban Outfitters, Inc. and its senior executives in a securities fraud class action. The court found that the...more

Compliance Risk Logic’s Mastering Compliance in International Markets Conference

If you are in the Far East there is now a master conference centered around the top compliance practitioners in the region. Next month, from June 8-9, Compliance Risk Logic is putting on its a conference in Singapore,...more

SEC Files Another Market Crisis Case

The market crisis of the last decade seems to have a never ending dribble of cases. The SEC filed another this week, naming four former officers of Wilmington Trust Company as defendants. SEC v. Gibson (D.Del. Filed May 6,...more

Pasadena Community College Ex-President’s $400,000 Severance Package Nullified Due to Brown Act Violations

A nearly $400,000 severance deal struck between Pasadena Community College and its former president was nullified by a judge after determining that the deal was improperly discussed and finalized in closed session. A Los...more

CFPB Ups the Ante in RESPA Crackdowns

On April 29, 2015, the CFPB, in conjunction with the Maryland Attorney General, filed six proposed consent orders—five of which are against individual defendants—in its latest RESPA enforcement action. The Bureau alleges that...more

What does anticorruption have to do with CSR?

Today’s Q & A is with Alison Taylor. Hi Alison, thank you for participating in today’s Q & A. While we have had the opportunity to collaborate on a number of guest pieces, including Reconciling Sales Strategy with FCPA...more

Safety Over Convenience: When Should Employers Investigate their Employees’ Mental State?

Stephen F. Austin is the CEO of Alamo Lines, a bus line servicing Central Texas. One night, a young, promising driver, David Boone, confessed to Stephen that he was suffering from severe depression and suicidal thoughts....more

Blog: With Two Dissents, SEC Proposes Pay-For-Performance Disclosure Rules

Wednesday, by a three to two margin, the SEC voted to propose rules requiring companies to disclose executive pay for performance. The proposal comes five years after passage of Dodd-Frank, which imposed the obligation on the...more

SEC Sanctions Adviser, and its CEO, GC and Auditor Based on Conflicts

Conflicts of interest are a central focus for the SEC. Indeed, conflicts are at the core of many of the actions brought against regulated entities. And, an undisclosed conflict was at the center of actions brought against a...more

CIO Sentenced for Insider Trading

David Riley, formerly the Chief Information Officer of Foundry Networks, Inc. was sentenced to serve 60 months in prison and pay a $50,000 fine based on insider trading charges. He was found guilty by a jury following a 13...more

First Circuit Reviews Top Hat Plan Benefits Denial for Abuse of Discretion

The First Circuit recently applied an abuse of discretion standard of review to a claim for top hat plan benefits. Plaintiff Robert Niebauer, a former executive of Crane, brought a claim for executive severance plan benefits...more

Say what you will about employment law in the UK but it is never boring.

Imagine that you have a senior employee who you have decided (for whatever reason) that you do not want anymore but you do not want to pay out his 12-month notice period. As an ingenious attempt to get around that, you...more

High Court Calls No Foul on Executive Termination

Say what you will about employment law in the UK but it is never boring. Imagine that you have a senior employee who you have decided (for whatever reason) that you do not want anymore but you do not want to pay out his 12...more

The SEC Doesn’t Love Secret Perks for Executives

If you find yourself as the CEO of a public company, you’ll probably find pluses and minuses. You’ll have to work really hard, but it can be lucrative, too. You can get paid a lot of money. And your company can pay you...more

The Easter Rebellion and Petrobras’ $17 Billion Write Down

On this day, 99 years ago the Easter Rebellion began. If there is one event that is seared into history as a turning point for Irish independence from Britain, it was the Easter Rebellion. England had finally granted Home...more

A Non-Insider Trading Case in the District of Massachusetts

Insider trading prosecutions can be difficult. Because of the haphazard and tortuous growth of insider trading law itself, the prosecutions involve proving lots of different pesky elements. Fiduciary duties, materiality,...more

The Passing of Günter Grass and Compliance Week 2015 Is Near

Günter Grass died this week. The contradictions that made up post-war Germany were wrapped up in him as well as any other single person I know anything about. He was a Nobel Prize winner for literature, who, it was revealed...more

SEC Files Financial Fraud Action Against Japan Based Controller

The Commission filed a financial fraud action against a former senior accounting officer and controller of Molex Japan Co., Ltd., the Japanese based subsidiary of publically traded Molex Inc. The scheme, which took place in...more

SEC Secures Victory on Fraud Allegations Against Technology Executive

The US District Court for the District of Columbia took the unusual step of granting summary judgment against a technology company executive who the Securities and Exchange Commission accused of various violations of the...more

United States: UFC Hires Anti-Doping Crusader

Last week, the UFC named Jeff Novitzky as Vice President of Athlete Health and Performance. According to the press release, Mr. Novitzky will help the UFC “invest in state of the art sports science studies, further develop...more

Into the Breach: Tips for Effectively Partnering With Outside Counsel in the Data Breach Planning Process

Target recently announced that the total cost of its data breach response efforts since late 2013 now exceeds $252 million (approximately $90 million of that has been offset by insurance proceeds). Such news, particularly...more

In re Polycom and the SEC's Continued Focus on Internal Controls

Over the past year, the SEC and other regulatory agencies have initiated an increasing number of investigations into companies based on allegations of inadequate internal controls and/or a system for reporting those controls....more

Corporate & Financial Weekly Digest - Volume X, Issue 14

In This Issue: - NFA Updates BASIC to Assist With Bylaw 1101 Diligence on Delegating CPOs - Second Circuit Refuses to Rehear Groundbreaking Insider Trading Case - SEC Secures Victory on Fraud Allegations...more

194 Results
|
View per page
Page: of 8

All the intelligence you need, in one easy email:

Great! Your first step to building an email digest of JD Supra authors and topics. Log in with LinkedIn so we can start sending your digest...

Sign up for your custom alerts now, using LinkedIn ›

* With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name.
×