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Tag: SOX 304

Posted on by T. Gorman Posted in SECActions

Under Section 304 of the Sarbanes Oxley Act the Commission can seek to clawback certain discretionary CEO and CFO compensation and trading profits if there is a restatement of the issuer’s financial statements based on wrongful conduct. The SEC has …

SEC Position on SOX 304 Clawbacks Adopted by Ninth Circuit Read More »

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Posted on by T. Gorman Posted in SECActions

At the start of the second quarter the focus was on the White House where two pieces of securities litigation were signed into law by the President. First, the STOCK Act, prohibiting the already illegal insider trading by Congress was …

THIS WEEK IN SECURITIES LITIGATION (Week ending April 6, 2012) Read More »

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