Year: 2006

Revisions to the Thompson Memo or a Legislative Fix?

The Department of Justice is reportedly considering significant changes to the Thompson Memorandum. While it is unclear what the scope of any such changes might be, the Senate hearings held in September 2006 may provide some clue. During those hearings

Former Capital One CFO Settles with SEC for $1.8 Million and 5 Year Bar

On November 20, 2006, the Commission settled insider trading charges against David M. Willey, former CFO of Capital One Financial Corporation. The SEC alleged that Willey traded Capital One stock in advance of a negative announcement concerning supervisory action by