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Quarterly Report Enforcement Actions

Stinson - Corporate & Securities Law Blog

SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT

The Securities and Exchange Commission charged eight companies for failing to disclose in SEC Form 12b-25 filings, commonly known as Form NT, that their request for seeking a delayed quarterly or annual reporting filing was...more

Robins Kaplan LLP

Financial Daily Dose 1.28.2021 | Top Story: GameStop’s Wild Ride Continues, Pummeling Hedge Funds Along the Way

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GameStop’s continuing surge this week has gone from something of a lark to a collective small-trader effort to stick it to Wall Street hedge funds and institutionalists, with share-price fundamentals discarded entirely in...more

Robins Kaplan LLP

Financial Daily Dose 1.27.2021 | Top Story: Walgreens Taps Starbucks Exec Roz Brewer as Next CEO

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Walgreens has named Starbucks exec Roz Brewer as its new CEO. The move sets up Brewer to be “the only Black female leading a Fortune 500 company”...more

The Volkov Law Group

Under Armour Under DOJ and SEC Investigation For Revenue Recognition Scheme

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The Justice Department and the SEC have launched criminal and civil accounting fraud investigations against Under Armour.  The sportswear maker has been suffering a rapid revenue decline over the last few years....more

Robins Kaplan LLP

Financial Daily Dose 10.31.2019 | Top Story: Fed Delivers Expected Interest Rate Cut

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As universally expected, the Fed’s Open Market Committee delivered its third interest rate cut of 2019 yesterday, though it did so while signaling that it’s likely to pause before taking action again and “is now shifting into...more

Stinson - Corporate & Securities Law Blog

Enforcement Action Reveals Misleading Customer Counts

In a settled enforcement action, the SEC resolved allegations related to non-monetary transactions regarding certain Comscore transactions.  The enforcement action also involved disclosures surrounding the number of...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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More fun for Facebook, just a day after it revealed a coming FTC fine, with the news on Thursday that Canadian privacy commissioners “violated national and local laws in allowing third parties access to private user...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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New York has sued Exxon Mobile over its alleged failure to disclose to its shareholder the “expected risk of climate change to its business”—behavior that the state asserts amounts to a “’longstanding fraudulent scheme’ to...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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More on the Saudi crackdown initiated by Crown Prince Mohammed bin Salman over the weekend, including the government’s move to confiscate and freeze more than $800 billion in assets from the detailed princes and other...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Despite a stronger global economic outlook than we’ve seen in years, the world’s central bankers appear loath to let go of stimulus measures while lower-than-expected inflation bedevils them....more

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