Latest Dodd-Frank Posts
SEC Enforcement Actions for Failure to Report Sales of Unregistered Securities
Litigation, Public Companies and Securities On two successive days, the SEC brought settled enforcement actions against issuers for failure to report sales of unregistered securities. Under Item 1.01 of Form 8-K, a registrant must disclose its entry into a material definitive agreement, not made in the ordinary course of business of the registrant, that provides for obligations that are material […] Read more →
SEC Sends Another Message on Section 16 Filings
Litigation, Public Companies and Securities In connection with a partial settlement of alleged fraudulent activities, the SEC charged three directors of a company associated with the fraud, but who did not participate in... Read more →
OSHA Addresses Sarbanes-Oxley Whistleblower Releases
Employment, Litigation, Public Companies and Securities We have written about SEC enforcement actions related to severance and confidentiality agreements that restrict reporting matters to the SEC. OSHA has also issued guidance... Read more →
SDNY Awards Front Pay in Sarbanes-Oxley Whistleblower Retaliation Case
Employment, Litigation, Public Companies and Securities Perez v. Progenics Pharmaceuticals, Inc., involved a case where Plaintiff Perez drafted a memo to Progenics’ general counsel and his department head, accusing Progenics of... Read more →