{"id":4398,"date":"2007-04-20T05:40:02","date_gmt":"2007-04-20T05:40:02","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/04\/the_10_leading_sec_enforcement"},"modified":"2007-04-20T05:40:02","modified_gmt":"2007-04-20T05:40:02","slug":"the-10-leading-sec-enforcement","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/the-10-leading-sec-enforcement\/","title":{"rendered":"The 10 Leading SEC Enforcement Developments Of 2006 (Part I)"},"content":{"rendered":"

\t\t\t\t1.\tStop Options Backdating<\/strong><\/p>\n

More than 100 companies were investigated by the Department of Justice and the SEC because of an article published in the Wall Street Journal in March 2006. The newspapers had asked a finance professor to give it a list of companies that made stock option grants that led to large stock market gains. The Journal studied several of the companies on the list and found that several of the option grant patterns found could not have happened without backdating. The article resulted in one of the largest securities investigations ever. The DOJ and the SEC only filed a few backdating cases, including cases against Comverse Technology, Inc. and Brocade Communication Systems, Inc. <\/p>\n

2.\tCorporate Civil Penalties Guidance<\/strong><\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

1. Stop Options Backdating More than 100 companies were investigated by the Department of Justice and the SEC because of an article published in the Wall Street Journal in March 2006. The newspapers had asked a finance professor to give it a list of companies that made stock option grants that led to large stock […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3760],"tags":[],"class_list":["post-4398","post","type-post","status-publish","format-standard","hentry","category-sec-enforcement"],"yoast_head":"\nThe 10 Leading SEC Enforcement Developments Of 2006 (Part I) — Investor Lawyers Blog — April 20, 2007<\/title>\n<meta name=\"description\" content=\"1. 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Stop Options Backdating More than 100 companies were investigated by the Department of Justice and the SEC because of an article published in the Wall — April 20, 2007\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards & Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"4 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"The 10 Leading SEC Enforcement Developments Of 2006 (Part I) — Investor Lawyers Blog — April 20, 2007","description":"1. 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