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US Securities and Exchange Commission News

News on US Securities and Exchange Commission continually updated from thousands of sources around the net.

2 hrs ago | Boston.com

W. Roxbury man imprisoned for Ponzi scheme faces new charges of spending lavishly despite court-orde

Steven Palladino plead guilty to running a Ponzi scheme in Suffolk Superior Court on Jan. 21, 2014.

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Related Topix: West-Roxbury, MA, Financial Services, Securities and Exchange Commission, Corporate / Securities Law, Law

3 hrs ago | JD Supra

The SEC's Whistleblower Program: 2013 Results and What to Expect in 2014

Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act in July 2010 as part of a massive overhaul of the nation's financial regulatory system.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services

7 hrs ago | Sys-Con Media

Rapid Fire Marketing Files 10K with U.S. Securities and Exchange Commission

Our goal was to not just become a fully reporting company and get an OTCQB or BB listing, but to grow the business of the Company and move to a senior exchange."

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Related Topix: Corporate / Securities Law, Law, Financial Services, Securities and Exchange Commission, Marijuana

8 hrs ago | Business Journal

Goodman Networks planning $100M IPO

Plano-based telecom services provider Goodman Networks Inc. has filed documents with the U.S. Securities and Exchange Commission to raise up to $100 million in an IPO.

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Related Topix: Financial Services, Securities and Exchange Commission, Corporate / Securities Law, Law, Banking, Bank of America

12 hrs ago | Business Journal

Austin CEO, 85, out of hospital and back at helm of his company

Riley, 85, had relinquished control to Rick Riley , 60, the company's vice chairman and president, according to a March 12 filing with the U.S. Securities and Exchange Commission .

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Related Topix: Financial Services, Insurance, Citizens

Tue Apr 15, 2014

Petaluma360

TriVascular prices IPO, stock to begin trading Wednesday

Santa Rosa's TriVascular Technologies priced its initial public offering Tuesday at $12 a share, below its target of $13 to $15 a share.

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Related Topix: Financial Services

CRN

PCM Sales President Resigns Amid Investor Unrest

PCM Sales President Joe Hayek, a six-year veteran of the $1.42 billion national solution provider that is facing a possible hostile takeover, has left the company and is not going to be replaced in the "immediate return," according to a U.S. Securities and Exchange Commission regulatory filing.

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Related Topix: Corporate / Securities Law, Law, Securities and Exchange Commission, Financial Services, Industrial Machines, Steel, Mining, Worthington Inds, PC Mall, Retail, Computers

Black Enterprise

Fake Credit Unions Steal Millions from Consumers

The U.S. Securities and Exchange Commission has charged an Indianapolis man with fraud for conducting an Internet offering that cost investors millions of dollars who invested funds in a fictitious credit union.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Pop/Rock, Fake?, Financial Services

Business Journal

Tech Data's troubles reflected in executive pay

Bob Dutkowsky , CEO of Tech Data Corp., took a 58 percent cut in his pay package, as the company worked to recover from a financial restatement and probe of its accounting practices.

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Related Topix: Tech Data, Computers, Financial Services

Dallas Morning News

Comment(s) {0}

Energy Future Holdings is the result of the $45 billion buyout of the former TXU Corp. in 2007 by private equity firms KKR & Co., TPG and Goldman Sachs Capital Partners.

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Related Topix: Economics News, Bankruptcy, Financial Services

Resource Investing News

Many Companies Unlikely to Meet SEC Conflict Minerals Deadline: PwC

Just weeks remain before companies registered with the US Securities and Exchange Commission must disclose whether they are receiving tantalum, tungsten , tin and gold from the Democratic Republic of the Congo , and, if so, whether they are getting those minerals from conflict-free sources.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, World News, Congo, Africa

ABS-CBN News

China's version of Twitter set for Wall Street debut

Sina Weibo, widely known as China's version of Twitter, is set to go public in the United States this week -- after three weeks of sell-offs took their toll on technology stocks.

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Related Topix: Financial Markets, Financial Services

VentureBeat

Chinese cosmetics retailer Jumei plans a $400M IPO - in the U.S.

Chinese online cosmetics retailer Jumei has filed paperwork with the U.S. Securities and Exchange Commission for an initial public offering.

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Related Topix: Financial Services

Mon Apr 14, 2014

Utility Products

As expected, B&W to slow its small reactor development program

Having failed to attract major financial partners to its mPower small modular reactor program, Babcock & Wilcox said April 14 that it would take more of a go-slow approach on small nuclear power units.

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Related Topix: Industrial Machines, Babcock and Wilcox, Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Department of Energy

Law.com

D.C. Circuit Trims SEC ?Conflict Minerals? Disclosure Rule

A federal securities rule that requires companies to publicly declare whether certain minerals used in products are "conflict free" violates the First Amendment, a divided federal appeals court in Washington ruled on Monday .

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, District of Columbia Circuit Court of Appeals, US News, Financial Services, Congo, Africa

The Hartford Courant

Lincoln National Corp. CEO Dennis Glass Paid $9.65 Million Last Year, Up 41 Percent

Dennis R. Glass, CEO of Lincoln National Corp. , received a $9.65 million pay package last year, up 41 percent from his $6.85 million compensation in 2012, according to documents filed Friday with the U.S. Securities and Exchange Commission .

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Related Topix: Insurance, Financial Services, Lincoln National, Ansonia, CT

Business Journal

In the money April 14: Austin startup funding wrap-up

At least three Austin-area companies reported receiving investment capital last week to take their business to the next level, according to the companies and filings with the U.S. Securities and Exchange Commission .

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Related Topix: Austin, TX, Financial Services, Securities and Exchange Commission, Corporate / Securities Law, Law

Business Journal

AT&T trims stake in Mexican telecom

AT&T Inc. has sold another 300 million shares of America Movil, the Mexican telecom owned by billionaire Carlos Slim , according to a filing with the U.S. Securities and Exchange Commission.

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Related Topix: Cable & Satellite, Telecom, ATT, Carlos Slim Helu, Financial Services

Stock Market Review

US stock market daily report

Investors may not be getting the best prices for their trades because of "dark pools', per the U.S. Securities and Exchange Commission.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Financial Markets

Sun Apr 13, 2014

I4U Future Technology News

Amazon's Prime Air delivery drone has reached its 8th generation

As stated by Amazon's CEO, Jeff Bezos, the time of home drone conveyance could be closer than was initially suspected.

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Related Topix: Amazon, Jeff Bezos, Financial Services, US News, Federal Aviation Administration

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