Year: 2011

The Commission settled its first strict liability no-fault SOX 304 action by agreeing to a settlement under which defendant Maynard L. Jenkins, the former CEO and Chairman of CSK Auto Corporation, would repay $2.8 million of the approximately $4.1 million …

SEC SETTLES JENKINS SOX 304 CASE Read More »

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Following the crash of the market for auction rate securities in early 2008, regulators as well as private litigants brought a series of suits against the brokerage houses which sold the securities. Typically the suits claimed that sells had misrepresented …

ANOTHER ARS CASE IS REJECTED Read More »

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