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THE OPTIONS SCANDAL: SEC AND PRIVATE, ENFORCEMENT TRENDS

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Reed Kathrein
Reed Kathrein

The document discusses trends in SEC and private enforcement of stock options backdating cases. It provides background on the options backdating scandal and outlines key investigations and settlements with companies like Apple, Comverse, Take Two, and ESSI. Over 200 companies have announced internal investigations into options backdating and the SEC has over 140 ongoing investigations.

EmpresarialesEconomía y finanzas
1 de 43
THE OPTIONS SCANDAL: SEC AND PRIVATE ENFORCEMENT TRENDS REED R. KATHREIN, Partner HAGENS BERMAN SOBOL SHAPIRO LLP EEI’s ANNUAL SEC ENFORCEMENT INSTITUTE Effective Compliance Strategies in an Era of Stepped-Up Enforcement! May 22-23, 2007 • New York June 27-28, 2007 • Chicago
Reed R. Kathrein ,[object Object],[object Object],[object Object],[object Object],[object Object]
Background ,[object Object],[object Object],[object Object],[object Object],[object Object]
Definitions ,[object Object],[object Object],[object Object],[object Object],[object Object]
Nefarious But Legal? ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Violate SOPs ,[object Object],[object Object],[object Object],[object Object]
Bad Apple ,[object Object],[object Object],[object Object],[object Object]
History ,[object Object],[object Object],[object Object],[object Object],[object Object]
Eric Lie ,[object Object],[object Object],[object Object]
SEC Begins Looking ,[object Object],[object Object],[object Object],[object Object]
Mercury Interactive ,[object Object],[object Object],[object Object],[object Object]
Analog Devices ,[object Object],[object Object],[object Object],[object Object]
“Perfect Payday” ,[object Object],[object Object],[object Object],[object Object],[object Object]
The Perfect Payday – Buy Low ,[object Object],[object Object],[object Object],[object Object]
The Perfect Payday—Buy Low ,[object Object],[object Object],[object Object],[object Object]
The Perfect Payday—Buy Low ,[object Object],[object Object],[object Object],[object Object]
The Perfect Payday – Buy Low ,[object Object],[object Object],[object Object],[object Object]
The Perfect Payday—Buy Low ,[object Object],[object Object],[object Object],[object Object]
The Perfect Payday—Buy Low ,[object Object],[object Object],[object Object],[object Object]
WSJ Keeps Story Alive ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
WSJ Flags 26 –May 24, 2006 ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
WSJ Options Score Card ,[object Object],[object Object]
200 Companies Have Announced Internal Investigations
SEC and DOJ Action ,[object Object],[object Object],[object Object],[object Object],[object Object]
Non-Enforcement Efforts ,[object Object],[object Object],[object Object]
New Comp Disclosure (1) ,[object Object],[object Object],[object Object],[object Object]
New Comp Disclosure (2) ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Trends in Enforcement--SEC ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Trends in Enforcement--DOJ ,[object Object],[object Object],[object Object],[object Object],[object Object]
DOJ Actions ,[object Object],[object Object],[object Object]
Apple Enforcement Action ,[object Object],[object Object],[object Object]
Apple Enforcement Action ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Settlements-Comverse WSJonline-5/9/2007 ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Settlements-Take Two WSJonline-5/9/2007 ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Settlements-ESSI WSJonline-5/9/2007 ,[object Object],[object Object],[object Object],[object Object],[object Object]
Settlements-Apple WSJonline-5/9/2007 ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Winding Down? ,[object Object],[object Object],[object Object],[object Object],[object Object]
Securities Fraud Class Actions ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Shareholder Derivative Actions ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
ERISA Actions ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
It’s Not Over ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
It’s Not Over ,[object Object],[object Object],[object Object],[object Object]
It’s Not Over Call for more information. Reed R. Kathrein Partner Hagens Berman Sobol Shapiro LLP San Francisco, CA Telephone:  (415) 896-6300 Fax:  (415) 896-6301 Email:  [email_address]

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THE OPTIONS SCANDAL: SEC AND PRIVATE, ENFORCEMENT TRENDS

  • 1. THE OPTIONS SCANDAL: SEC AND PRIVATE ENFORCEMENT TRENDS REED R. KATHREIN, Partner HAGENS BERMAN SOBOL SHAPIRO LLP EEI’s ANNUAL SEC ENFORCEMENT INSTITUTE Effective Compliance Strategies in an Era of Stepped-Up Enforcement! May 22-23, 2007 • New York June 27-28, 2007 • Chicago
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  • 23. 200 Companies Have Announced Internal Investigations
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  • 43. It’s Not Over Call for more information. Reed R. Kathrein Partner Hagens Berman Sobol Shapiro LLP San Francisco, CA Telephone:  (415) 896-6300 Fax:  (415) 896-6301 Email:  [email_address]