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The backdating scheme involved moving an effective date for the exercise of stock options from when the options were 'out of the money' to a date that made the options 'in the money' to allow certain executives to exercise their options profitably.Companies such as Comverse, Verisign, F5 Networks, Intuit and Mc Afee - as well as Home Depot, Michael's Stores and United Health Group, to name a few - all engaged in this fraudulent activity to varying degrees and were forced to pay fines and penalties and conduct time-consuming and expensive restatements of their books.
Represented a multinational financial services company in parallel investigations by the DOJ and SEC regarding trading practices and disclosure issues.Under this initiative, the SEC has conducted investigations on many industries, including the oil, cable TV and video game industries.This policy emerged after the Sarbanes-Oxley Act of 2002, which provided greater transparency for investors.Represented a principal investor in connection with criminal inquiry for orchestrating a fraudulent initial public offering. A pioneer in the alternative investment management industry, SRZ has advised private funds for nearly 50 years. SRZ is pleased to announce a major expansion with the addition of a group of leading broker-dealer attorneys from the firm Bracewell LLP.SEC regulations require investment advisers to put into place policies and procedures that are reasonably designed to prevent violations of the securities laws and SEC rules. Securities and Exchange Commission charged a private fund manager and its former chief operating officer with manipulating the price of an asset sold by one client to another. Schulte Roth & Zabel (SRZ) is hosting its 28th Annual Private Investment Funds Seminar today in New York. Securities and Exchange Commission charged the principal of a hedge fund manager and the hedge fund manager itself with illegally profiting from a scheme to drive down the price of Ligand Pharmaceuticals Inc. Resident in the firm’s New York office, Julian Rainero and Craig S. To comply with the e-Privacy Directive, we need to ask for your consent to set these cookies.