The notorious financial accounting scandals involving Enron and Worldcom demonstrated the inadequacies of the self-regulatory reporting requirements governing many public companies. See Free Enterprise Fund v. Public Company Accounting, 537 F.3d 667,...
Sarbanes-Oxley Act of 2002
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Facts
Petitioners Jonathan M. Zang and Jackie Hosang Lawson worked for private companies that provide advising or management services to the Fidelity family of mutual funds (“Fidelity funds”). See Lawson v. FMR LLC, 670 F.3d 61, 63 (1st Cir. 2012). Zang...
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In 2011, Respondent UBS Securities, LLC hired Petitioner Trevor Murray as a strategist, a role that required him to certify that his reports “accurately reflected his own views” and that his compensation was not tied to his views. Murray v. UBS Sec. at...