Year: 2010

THIS WEEK IN SECURITIES LITIGATION (September 10, 2010)

Senator Schumer sent the Commission a letter this week requesting that it review certain trading practices such as high speed trading, quote stuffing and sub-penny pricing. SEC enforcement filed another settled option backdating case along with actions based centered on

DODD – FRANK: CLAWBACK

Since Sarbanes-Oxley was passed, the Commission has invoked Section 304 to seek the repayment – or clawback – of certain executive compensation. Specifically, in SEC v. Jenkins, Case No. CV-09-01510 (D. Ariz. Filed July 22, 2009), the Commission for the

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