Tag: enforcement
— 17 items —A tale of two corruption settlements …
August 9, 2010—Call us old-fashioned, but we think that a federal investigation for bribery or foreign corruption, even a small one relative to a company's size, is significant, and warrants disclosure. We recently took General Electric (GE) to task for sweeping its own foreign ...
Citi settles as big firms fret over obscenities …
July 29, 2010—Another stormy summer day in Washington, another high-profile lawsuit from the Securities and Exchange Commission -- this one against Citigroup and former senior executives of the company. Once again, it's about disclosure, and the agency's press release puts it succinctly: "Citigroup repeatedly made misleading ...
GE settlement follows silence over inquiry …
July 27, 2010—It isn't every day that one of the biggest industrial companies settles foreign bribery charges -- and almost acknowledges the allegations in the process. Given that the company didn't tell investors that the investigation was even underway, that's not half bad.
Question about Dell’s settlement timeline …
July 23, 2010—Now that Dell (company and founder alike) has settled with the Securities and Exchange Commission, no doubt investors and management will forge ahead. But we want to take one moment to look back -- not to the sordid accounting gimmicks and misleading ...
The cost of doing business for Goldman Sachs …
July 15, 2010—Robert Khuzami made a splash, as intended, today when he announced the biggest Wall Street penalty in the SEC's history, a $550 million deal with Goldman Sachs (GS). We're just not sure the long-term view will be as kind. The blogosphere has been
FootnotedPro: Revisiting a foreign-corruption settlement
May 27, 2010—Usually, after a company settles serious charges with federal prosecutors and regulators, investors can relax a little, and assume the matter is behind them. That may not be the case with one contractor we looked at more closely in a FootnotedPro report that went ...
Ritholtz says: Give the SEC teeth!
October 1, 2009—My good friend and blogger extraordinaire Barry Ritholtz wrote such a compelling post yesterday about the SEC that I thought it was worth sharing with footnoted.org readers. Here it is in its entirety as only Barry can say it: The problems at the SEC ...




SIFTING THROUGH PUBLIC COMPANY FILINGS SO YOU DON'T HAVE TO.