Year: 2010

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 …

DODD – FRANK: CLAWBACK Read More »

The SEC filed a fraud action against an investment adviser to funds that suffered significant losses from investing with Ponzi scheme king Bernard Madoff and fraudster Tom Petters. In the Matter of Neal R. Greenberg, Adm. Proc. File No. 3-14033 …

ADVISER TO FEEDER FUNDS NAMED IN FRAUD ACTION Read More »