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Searching Content indexed under Corporate and Company Law by Richard Rosenfeld ordered by Published Date Descending.
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No Holiday From Whistleblowers: A Scary Future Predicted For The Financial Industry
On July 30, 2016, the United States celebrated its National Whistleblower Appreciation Day.
United States
23 Sep 2016
2
The SEC Requires Hedge Fund Harbinger Capital and its Manager Falcone to Admit Wrongdoing in Landmark Settlement
The US Securities and Exchange Commission (SEC) recently announced that Philip A. Falcone, a New York-based hedge fund advisor, and the hedge fund he managed, Harbinger Capital Partners LLC (Harbinger Capital), have agreed to settle allegations of misappropriation of client assets, market manipulation and client betrayal.
United States
22 Aug 2013
3
A Brave New SEC? The SEC Rejects Proposed Settlement with Hedge Fund Harbinger Capital and Its Manager Falcone
In a regulatory filing made on July 19, 2013, Harbinger Group, Inc. (Harbinger Group), a publicly traded investment company, announced that the US Securities and Exchange Commission (SEC) had rejected an agreement in principle that Harbinger Group had reached with the staff of the SEC’s Enforcement Division.
United States
20 Jul 2013
4
US Court of Appeals for the Second Circuit Holds Rapid Post-Fraud Stock Rebound Does Not Bar Securities Fraud Suit
The failure to allege economic loss and loss causation—essential elements of a securities fraud claim—should be fatal to a Rule 10b-5 complaint.
United States
6 Aug 2012
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