Header graphic for print
Cady Bar the Door Insight & Commentary on SEC Enforcement Actions and Related Issues

Category Archives: Investigations

Subscribe to Investigations RSS Feed

Michael Garcia Now Just Taunting FIFA

Posted in Investigations

And I say that in the most complimentary way.  If you haven’t been following this story, here’s a quick recap:  FIFA awarded the 2018 and 2022 World Cups to Russia and Qatar, respectively.  This raised eyebrows, as they say.  Didn’t we just endure a crazily expensive and possibly corrupt Winter Olympics in Sochi?  And what… Continue Reading

Charged with Interpreting “Officer” in Corporate By-Laws, Third Circuit Decides 12 Random People Are Better Suited for the Job

Posted in Investigations

Here are two things I thought when I was a kid: (1) Quicksand was a real threat, something that could suck me into the Earth if I wasn’t careful when walking around outside.  I don’t know if this was a function of too many episodes of Gilligan’s Island or what, but quicksand seemed both exotic… Continue Reading

Keeping Internal Investigations Independent and Conflict-Free

Posted in Accounting Fraud, Auditors, Financial Fraud, Investigations

Internal investigations can arise in a number of different ways and can concern a number of different subjects.  Allegations of financial misconduct, employment-related missteps, and breaches of fiduciary duty, among others, can all lead a company in that direction.  Grand jury subpoenas, search warrants, target letters, media reports, whistleblower claims, audit reports, and routine risk… Continue Reading