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PRACTICE COLUMNS
Securities Law/Litigation
Majority Voting and Shareholder Influence Within Public Companies
Friday, December 14, 2007
It is no secret that shareholders of public companies are restive and increasingly are doing something about it. This growing involvement has been fueled by outrage over overpaid, under-performing executives and the corporate scandals of recent years, among other factors. Hedge funds are also increasingly more active in their investments, and are pushing management to make rapid changes.
SPONSOR SPOTLIGHT
Options Backdating: Beware
Of the Finance Professor's Study
Tuesday, February 27, 2007
Boxing his family pictures, award plaques and all the mementos of an otherwise sterling 39-year career at the company, the CEO thought how could it all have come to such an ignominious end.
Staying Out of Danger
For Manipulation of Stock Options
Tuesday, January 23, 2007
With the increasing focus on executive compensation, companies have been prosecuted for the manipulation of the timing of stock option grants and exercises.
Does High Court Mean the Buyer
Must Beware in Securities Markets?
Monday, September 25, 2006
The Supreme Court decision in Dura Pharmaceuticals v. Broudo has spurred much commentary since it came down in April 2005. The court addressed the pleading requirements for loss causation in fraud-on-the-market cases under the Securities Exchange Act of 1934.
Finders Keepers
Monday, March 27, 2006
You have fretted for weeks about the solvency of one of your small company clients. You are pleased when the company's president calls and asks you to draft a private placement document to sell company shares to an investor who will invest enough to keep the company chugging forward. The president also requests that you first draft an agreement whereby the company will pay a finder's fee to the person who introduced the investor to the company. If you end the conversation at this point and start drafting th
A Cautionary Tale Concerning
SEC Gatekeeper Liability
Monday, February 27, 2006
Prior to the last couple of years, except for a few notable exceptions a number of years ago, the Securities and Exchange Commission had not brought enforcement actions against attorneys rendering legal advice. That has changed.
Marking the Close and Other
Deceptive Trading Practices
Wednesday, December 28, 2005
Securities markets are only as honest as the people who operate them, and some of the people who operate them are not always honest. The Securities Exchange Act of 1934 reflects this and seeks to curb deceptive trading practices that manipulate the market.
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