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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.

33 min ago | Burlington Times News

Zeek receiver continues efforts to recoup money

Kenneth Bell, the receiver for alleged Ponzi scheme Zeek Rewards, continues his attempt to recoup millions of dollars and recently put further focus on going after "net winners" with additional legal filings.

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Related Topix: US Secret Service, US News, Financial Services

1 hr ago | The Columbus Dispatch

Court upholds federal meat labeling regulation

The labeling regulation requires retailers to list not just the country of origin of the meat, but also information on when and where animals were born, raised and slaughtered.

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Related Topix: District of Columbia Circuit Court of Appeals, US News, Financial Services

1 hr ago | Business Journal

Lion, Moffitt sign licensing deal

Lion Biotechnologies Inc. signed an exclusive license agreement with Moffitt Cancer Center, giving Lion an exclusive world-wide license to Moffitt's rights in and to two patent-pending technologies related to ways to use tumor-inflitrating lymphocytes for cell therapy.

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Related Topix: Financial Services

2 hrs ago | GuruFocus.com

Why Diamond Foods is a Buy

Diamond Foods has a corrupted past that keeps on unpleasant the organization. A bookkeeping outrage in November 2011 permitted adversary Kellogg to outsmart Diamond in the race to acquire Pringles from Procter & Gamble.

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

6 hrs ago | Bloomberg

UBS, Deutsche Bank Cooperating in Trading Probe

UBS AG said the U.S. Securities and Exchange Commission is investigating its dark pool, while Deutsche Bank AG is responding to requests for information from regulators on high-frequency trading.

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Related Topix: Banking, Financial Services, Ubs Ag, Deutsche Bank AG, UBS Investment Bank, Investment Banking, UBS Financial Services, Investment Services, Securities and Exchange Commission, Corporate / Securities Law, Law

10 hrs ago | PaintSquare

$800M Settlement Ends RPM's Year

Carboline parent RPM International Inc. closed out fiscal 2014 with news of record sales, an $800 million asbestos settlement, and yet another federal inquiry.

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Related Topix: Manufacturing, RPM International, Chemicals, Financial Services

Mon Jul 28, 2014

Reuters

Ex-Harbinger COO settles SEC claims he aided fraud

The former chief operating officer of Philip Falcone's hedge fund Harbinger Capital Partners has agreed to pay $200,000 to resolve charges he aided a scheme to misappropriate fund assets, the U.S. Securities and Exchange Commission said Monday.

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

The New Zealand Herald

Graeme Hart reviews ownership of Evergreen, Closures, SIG

New Zealand billionaire Graeme Hart's Reynolds Group is considering the sale of three units that make up more than a third of the global packaging empire's earnings.

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

Business Journal

Virgin America files for an IPO

The Burlingame-based company said Monday it filed with the U.S. Securities and Exchange Commission for a proposed initial public offering of its common stock.

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Related Topix: Virgin America, Financial Services, Publishing, Media, New Times, us Travel, North America Travel, Russia Travel, Travel, Europe Travel, San Francisco, Russia Travel, San Francisco Travel

Reuters

UPDATE 1-Smith & Wesson settles SEC bribery case over firearms sales

Smith & Wesson Holding Corp has agreed to pay $2.03 million to settle U.S. Securities and Exchange Commission charges its employees and representatives bribed foreign officials to supply firearms to military and law enforcement departments overseas.

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Related Topix: Guns, Securities and Exchange Commission, Corporate / Securities Law, Law, Smith and Wesson, Sporting Goods, Financial Services

Business Journal

Warned: NYSE officially tells RadioShack it could be delisted in 6 months

RadioShack Corp. was notified by the New York Stock Exchange last week that it failed to satisfy listing standards and could be delisted because its average stock price stayed below $1 for 30 days, according to a document the company filed Friday with the U.S. Securities and Exchange Commission.

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Related Topix: Retail, RadioShack, Financial Services

Business Journal

In the money July 28: Austin startup funding wrap-up

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

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

Business Journal

Johnson leaving EDMC board after next election

Former H.J. Heinz CEO William R. Johnson is leaving the board of directors of Pittsburgh-based Education Management Corp. EDMC said in a filing Friday with the U.S. Securities and Exchange Commission that Johnson won't be running for re-election to the for-profit education company's board.

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Related Topix: Food, Heinz H J, Education, Education Management, Financial Services

Business Journal

Landmark Apartment Trust execs get pay hikes

Top executives at Landmark Apartment Trust of America Inc. have fatter paychecks after signing new employment contracts with the Tampa-based REIT.

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Related Topix: REIT, Personal Finance, Financial Services

Business Journal

BioDerm launches $4.8M capital raise

The Largo-based medical products company will use some of the funding to pay salaries and wages to executive officers, a filing with the U.S. Securities and Exchange Commission said.

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

Sun Jul 27, 2014

Trinidad Guardian

Facebook says SEC's IPO probe ends

Facebook Inc said the US Securities and Exchange Commission dropped its probe into the social networking company over events surrounding its controversial initial public offering.

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Related Topix: Startups, Facebook, Social Software, Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services

Miami's Community Newspapers

S&P upgrades county's solid waste system revenue bonds

Standard and Poor's Ratings Services, a well-known global rating agency and one of the few nationally recognized Statistical Rating Organizations by the U.S. Securities and Exchange Commission, recently upgraded the ratings on three series of Miami-Dade County Public Works and Waste Management Department solid waste system revenue bonds.

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Related Topix: Financial Markets, Financial Services

Sat Jul 26, 2014

Inman Real Estate News

Househappy raises $2M, parts ways with marketing maven Ekaterina Walter

The Portland, Oregon-based firm has raised $2 million of a $2.75 million funding round, a U.S. Securities and Exchange Commission regulatory filing reveals .

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Related Topix: Marketing, Financial Services

Reuters

SEC seeks $1.4 billion from Texas Wyly brothers after fraud verdict

Texas tycoon Sam Wyly and the estate of his late brother Charles should pay damages totaling $1.41 billion for their role in a scheme that hid trades in companies they controlled using offshore trusts, the U.S. Securities and Exchange Commission said.

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

Housing Wire

S&P receives wells notice over CMBS ratings

Six commercial-mortgage backed securities Standard & Poor graded in 2011 are under question after McGraw Hill Financial said it received a notice from the U.S. Securities and Exchange Commission that the regulator may seek an enforcement action.

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Related Topix: Home, Mortgage, Personal Finance, Financial Services, Financial Markets

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