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U.S. Securities and Exchange Commission

Spotlight on Stock Options Backdating

Enforcement Actions Related to Options Backdating
(displayed in reverse chronological order)

Commission Speeches and Testimony Related to Options Backdating

Commission Staff Speeches, Testimony and Letters Related to Options Backdating

Non-SEC Documents Related to Options Backdating

  • Former CEO of KB Home Convicted of Federal Fraud Charges Related To Stock Option Backdating, In Which He Awarded Himself Millions Of Dollars In Compensation, Press Release from the United States Attorney's Office, Central District of California, April 21, 2010
  • Former Brocade CEO Convicted of Securities Fraud, Press Release from the United States Attorney's Office, Northern District of California, March 26, 2010
  • Former President and Chief Operating Officer of Monster Worldwide, Inc. Sentenced in Manhattan Federal Court to Two Years in Prison for Backdating Stock Options, Press Release from the United States Attorney's Office, Southern District of New York, September 2, 2009
  • Former President of Monster Worldwide, Inc. Found Guilty of Stock Option Backdating Fraud, Press Release United States Attorney's Office, Southern District of New York, May 12, 2009
  • Former CEO of KB Home Charged With Securities Fraud in Connection With Stock Option Backdating Scheme, Press Release from the United States Attorney's Office, Central District of California, March 5, 2009
  • Former Head of Human Resources at KB Home Agrees to Plead Guilty to Conspiracy to Obstruct Justice in Connection With Internal Investigation of Backdating of Stock Options, Press Release from the United States Attorney's Office, Central District of California, December 15, 2008
  • Broadcom Co-Founder Pleads Guilty to Making False Statement to the SEC in Backdating Investigation, Press Release from the United States Attorney's Office, Central District of California, June 23, 2008
  • Former Broadcom CEO Henry Nicholas and Former CFO Indicted in Massive Stock-Options Backdating Case, Press Release from the United States Attorney's Office, Central District of California, June 5, 2008
  • Former Chief Operating Officer and President of Monster Worldwide, Inc. Charged With Securities Fraud and Conspiracy in Connection With Backdating of Stock Options, Press Release from the United States Attorney's Office, Southern District of New York, April 30, 2008
  • Former Mercury Interactive CFO Indicted in Stock Options Backdating Scheme, Press Release from the United States Attorney's Office, Northern District of California, April 22, 2008
  • Brocade Vice-President, Stephanie Jensen, Sentenced to 4 Months in Prison and a $1.25 Million Fine, Press Release from the United States Attorney's Office, Northern District of California, March 19, 2008
  • Former Chief Financial Officer of SafeNet, Inc. Sentenced to 6 Months in Prison for Securities Fraud in Connection With Backdating of Stock Options, Press Release from the United States Attorney's Office, Southern District of New York, January 28, 2008
  • Former Chief Executive Officer of Monster Worldwide, Inc. Charged With Stock Options Backdating, Press Release from the United States Attorney's Office, Southern District of New York, January 23, 2008
  • Reyes, former CEO of Brocade Communications Systems, Sentenced to 21 Months Imprisonment and $15 Million Fine, Press Release from the United States Attorney's Office, Northern District of California, January 16, 2008
  • Former Vice President for Human Resources of Brocade Communications Systems Convicted in Stock Options Trial, Press Release from the United States Attorney's Office, Northern District of California, December 5, 2007
  • Former Broadcom Vice-President Agrees to Plead Guilty to Obstruction of Justice in Stock Backdating Probe, Press Release from the United States Attorney's Office, Central District of California, November 29, 2007
  • Former Chief Financial Officer of SafeNet, Inc. Pleads Guilty to Securities Fraud in Connection With Backdating of Stock Options, Press Release from the United States Attorney's Office, Southern District of New York, October 5, 2007
  • Former CEO of Brocade Communications Systems, Inc. Convicted of Securities Fraud for Backdating Option Grants, Press Release from the United States Attorney's Office, Northern District of California, August 7, 2007
  • Former Chief Financial Officer of Safenet, Inc. Charged in Connection With Backdating of Stock Options, Press Release from the United States Attorney's Office, Southern District of New York, July 25, 2007
  • Former Chief Executive Officer of Brooks Automation Charged With Backdating Exercise of Stock Options, Press Release from the United States Attorney's Office, District of Massachusetts, July 26, 2007
  • Former McAfee General Counsel Indicted for Stock Options Backdating, Press Release from the United States Attorney, Northern District of California, February 27, 2007
  • Former General Counsel of Monster Pleads Guilty to Securities Fraud in Connection With Backdating of Stock Options, Press Release from the United States Attorney, Southern District of New York, February 15, 2007
  • DA Morgenthau Announced the Conviction by Guilty Plea of Founder and Former Chairman and Chief Executive Officer of Take-Two Interactive Software, Inc. on Charges of Falsifying Take-Two's Records to Backdate Stock Option Grants, News Release of the New York County District Attorney, February 14, 2007
  • William F. Sorin, Former General Counsel of Comverse Technology, Inc. Pleads Guilty to Securities Fraud Charge, Press Release of the United States Attorney's Office, Eastern District of New York,, November 2, 2006
  • David Kreinberg, Former CFO of Comverse Technology, Inc. Pleads Guilty to Securities Fraud Charges, Press Release of the United States Attorney's Office, Eastern District of New York, October 24, 2006
  • Jacob "Kobi" Alexander, Former CEO of Comverse Technology, Inc. Apprehended in the Republic of Namibia, Press Release of the United States Attorney's Office, Eastern District of New York, September 27, 2006
  • Former Executives of Comverse Technology, Inc. Charged With Backdating Millions of Stock Options and Creating a Secret Stock Options Slush Fund, Press Release of the United States Attorney's Office, Eastern District of New York, August 9, 2006
  • U.S. Attorney's Office and SEC Separately Charge Former Brocade CEO and Vice President In Stock Option Backdating Scheme, Press Release United States Attorney's Office, Northern District of California, July 20, 2006

 


http://www.sec.gov/spotlight/optionsbackdating.htm


Modified: 07/19/2010