Study Group: SEC Regulations Experts: Lawyers
Council Members in this Study Group: 61
This study group may include professors, attorneys, former regulatory officers, and consultants knowledgeable on topics such as law and litigation issues, lobbying, policy and government, elections, antitrust, immigration, intellectual property, and legislation, among others.
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Leading Experts in this Study Group
Robert HeimPartner
MEYERS & HEIM LLP
Robert G. Heim is Partner at the law firm of Meyers & Heim in New York City, where he specializes in corporate and securities law, including corporate formation and capital raising, securities regulatory work, securities litigation, white collar criminal...
Marcel KahanGeorge T. Lowy Professor of Law
NEW YORK UNIVERSITY (INC)Marcel Kahan is the George T. Lowy Professor of Law at the New York University School of Law. His main areas of teaching and research are mergers and acquisitions (M&A), corporate governance, hedge funds, and bondholder rights. He has acted as consultant...
Orlan JohnsonPartner
SAUL EWING LLPOrlan Johnson is a Partner in the Business Department of Saul Ewing in Washington, DC, where he has in-depth and practical experience in mergers and acquisitions, stock and asset acquisitions and dispositions, corporate financing, joint ventures, proxy...
- Mark Saunders
Former General Counsel
WR Capital Management, LPMark Saunders was until April 1, 2009, the General Counsel of WR Capital Management. Previously, Mr. Saunders was a Senior Partner in the New York office of a law firm with over 1,000 lawyers, in which office he practiced for 19 years. He practices in...
GLG NewsSM Analyses by this Study Group's Leading Experts(?)
Opinions and analyses expressed in GLG News are solely those of the author. See the Terms of Use for details.
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Potential Fines and Penalties for Energy Transfer Partners
November 12, 2007
Analysis by: Orlan Johnson, Partner,Is Enron Saga Entering The Final Chapter | news.glgroup.com
A clear understanding of this area of the law has become critical because the risks from noncompliance can subject an entire entity, including upper management, to significant fines ($1 million per day/ per violation), criminal penalties and disgorgement of undue profits. Many energy entities need to update and in some case create substantive compliance programs to the new powers granted FERC in the Energy Policy Act of 2005. FERC has recently begun to assess the first round of fines and penalties on entities that it determines are not demonstrating a "culture of compliance."
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January 5, 2007
Analysis by: Robert Heim, Partner,Apple ‘falsified’ files on Jobs’ options | www.ft.com
1. Companies are completing their internal investigations of stock option backdating.
2. Settlements with the SEC and the Department of Justice are likely to be reached in the first quarter of 2007. -
Stock Options Backdating Probe is Heating Up
July 27, 2006
Analysis by: Robert Heim, Partner,Backdating Battle Focuses on Fraud | www.thestreet.com
1. The filing of criminal charges by the Department of Justice and civil charges by the SEC against two former officers of Brocade signals that regulators are ready to begin enforcement actions in the stock option backdating scandal.
2. The early cases that are filed by regulators will serve as precedent for future actions against those involved in back dating stock options.
3. The DOJ and SEC probes into stock option back dating still have a long way to go before they are completed.
Members in this Study Group include these company types:
- Law Firm (general practice/large)
- Law Firm (Boutique / Specialized)
- Academic Institution*
Members in this Study Group often have these job titles:
- Partner
- Professor
- Attorney
- Principal
- Assistant Professor
Related Study Groups
GLG Live Meetings with this Study Group's Leading Experts (?)
March 17, 2009 | New York
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