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UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF …

    https://www.sec.gov/litigation/complaints/comp18955.pdf
    were used to pay undisclosed commissions ranging between 7% to 12%, and to pay for luxury automobiles and other lavish perks such as cash advances and expensive dinners, for GetAnswers’ management and employees. 30. By way of example, the following chart …

Press Release: SEC Files Fraud Charges Against Former ...

    https://www.sec.gov/news/press/2006/2006-89.htm
    Jun 07, 2006 · Washington, D.C., June 7, 2006 - The Securities and Exchange Commission announced today the filing of securities fraud charges against three former top officers of an operator of national restaurant chains in connection with their receipt of approximately one million dollars in undisclosed compensation, participation in undisclosed related party transactions, and financial statement fraud …

United States Securities and Exchange Commission - SEC.gov

    https://www.sec.gov/litigation/litreleases/lr17722.htm
    Sep 12, 2002 · The undisclosed compensation: In August of 1999, Kozlowski authorized, and Swartz caused to be recorded in Tyco's books and records, a $25,000,000 loan forgiveness against Kozlowski's outstanding KELP balance and a $12,500,000 credit against Swartz's outstanding KELP balance. This executive compensation was never disclosed, contrary to the requirements of the federal securities laws.

Directors and Officers: Beware of Insider Trading Risks ...

    https://www.torys.com/insights/publications/2013/09/directors-and-officers-beware-of-insider-trading-risks-arising-from-ma-transactions
    Sep 17, 2013 · Under Canadian securities laws, it is illegal for a director or officer to trade while in possession of material undisclosed information. The market impact test for materiality—whether information, if disclosed, would have a significant effect on the trading price or value of a company’s securities—is on its face relatively simple.

Section 535.148 - Receiving an Undisclosed Commission or ...

    https://casetext.com/regulation/texas-administrative-code/title-22-examining-boards/part-23-texas-real-estate-commission/chapter-535-general-provisions/subchapter-n-suspension-and-revocation-of-licensure/section-535148-receiving-an-undisclosed-commission-or-rebate
    Jul 02, 2021 · Section 535.148 - Receiving an Undisclosed Commission or Rebate (a) A license holder may not receive a commission, rebate, or fee in a transaction from a person other than the person the license holder represents without first disclosing to the license holder's client that the license holder intends to receive the commission, rebate or fee, and obtaining the consent of the license holder's …

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