Hilary Johnson

May 08, 2014 | The American Lawyer

Robert Pozen, the former chairman of MFS Investment Management, takes a dim view of those who, from his perspective, are trying to single-mindedly “curb short termism in corporate America.”

By Hilary Johnson

2 minute read

May 08, 2014 | The American Lawyer

The U.S. Securities and Exchange Commission announced fraud charges against a New York investment advisory firm and two of its executives on Wednesday, for allegedly falsifying the performance of two hedge funds they managed.

By Hilary Johnson

2 minute read

May 08, 2014 | The American Lawyer

The Department of Justice has not done all it should to punish Wall Street executives since the financial crisis, and its current efforts are misguided, writes Edward Kaufman, a former senator from Delaware and current visiting professor at the Duke University School of Law, in the New York Times' DealBook Thursday.

By Hilary Johnson

2 minute read

May 07, 2014 | The American Lawyer

Pfizer's $10.6 billion takeover bid for U.K. drug company AstraZeneca is causing an uproar not only in the corridors of the target company, but in the halls of the British Parliament as well.

By Hilary Johnson

2 minute read

May 07, 2014 | The American Lawyer

Now that ‪Alibaba has filed the first required corporate documents related to it planned initial public offering, concerns about the Chinese e-commerce corporate structure and governance are coming into focus.‬

By Hilary Johnson

3 minute read

May 07, 2014 | The American Lawyer

Key Energy Services, a Houston-based oil service company, said in a quarterly filing that it is being investigated by the U.S. Securities and Exchange Commission for potential violations of the Foreign Corrupt Practices Act.

By Hilary Johnson

1 minute read

May 06, 2014 | The American Lawyer

The Financial Industry Regulatory Authority said Tuesday it has fined Morgan Stanley Smith Barney $5 million for failing to communicate to retail investors the proper procedures involved in purchasing shares in newly public companies.

By Hilary Johnson

2 minute read

May 06, 2014 | The American Lawyer

The Financial Industry Regulatory Authority has ordered Ameriprise Financial Services to pay two elderly investors a total of $1.17 million after determining that the firm caused the pair to lose most of their life savings as a result of risky real estate investments, according to a published report.

By Hilary Johnson

2 minute read

May 06, 2014 | The American Lawyer

Required disclosures are ubiquitous in everything from financial statements to loan documents to consumer goods, and many people believe such disclosures serve an important purpose. Omri Ben-Shahar is not among those people.

By Hilary Johnson

2 minute read

May 05, 2014 | The American Lawyer

Johnson Controls noted in a quarterly filing submitted to the U.S. Securities and Exchange Commission that it self-reported allegations that it had violated the Foreign Corrupt Practices Act to U.S. regulators last year.

By Hilary Johnson

2 minute read