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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.

16 hrs ago | Gretna Breeze

Gordmans says store sales down

Find the latest in local business and development, from who's saying what to what's going in at that corner, in the Money Talks blog.

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Related Topix: Financial Services

18 hrs ago | Business Journal

1st United Bank boosts international trade finance focus

A 62 percent increase in Export-Import Bank loans since 2010 has 1st United Bank convinced that there is lots of opportunity in international trade finance.

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Related Topix: Financial Services

Fri May 24, 2013

Modern Healthcare

HMA erects takeover defense

Health Management Associates, Naples, Fla., is taking action to prevent a takeover of the company.

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Related Topix: Medicine, Health Management Associates, Hospital Administration, Healthcare Industry, Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services

Business Journal

Kohl's compensation package for former Starbucks exec nearly $10M

New Kohl's Corp. chief customer officer Michelle Gass , lured away from Starbucks Corp.

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Related Topix: Retail, Kohls, KSS Retail, Restaurant Management, Starbucks, Financial Services

Business Journal

Taser CEO Rick Smith sees bump in pay to $898K

Taser International Inc. CEO Rick Smith more than tripled his pay in 2012, but the leader of the high-tech stun-gun manufacturer still has yet to collect more than $1 million in annual compensation.

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Related Topix: TASER International, Security, Financial Services

Fox News

U.S., China Set Pact on Auditor Access

China has agreed to give U.S. regulators access to documents from Chinese accounting firms, a breakthrough in a long running effort by the U.S. to improve financial disclosure by Chinese firms that trade on U.S. exchanges following a spate of scandals.

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

Reuters

UPDATE 1-Academics back BP's fight to cap oil spill payouts

A group of accountancy professors is backing BP's fight to cap the U.S. oil spill compensation payouts it has to fund as the cash outflow threatens to add billions of dollars to its bill for the disaster.

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Related Topix: Oil Spill, George Bush, W., Financial Services

Customer Interaction Solutions

The Securities Arbitration Law Firm of Klayman & Toskes Investigates...

The Securities Arbitration Law Firm of Klayman & Toskes, P.A. announced today that it is investigating potential claims against Ameriprise Financial and LPL Financial surrounding allegations of misconduct by former Ameriprise Advisor Services and LPL advisor, Blake B. Richards .

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Related Topix: AMP Ltd, Insurance, Financial Services, Investment Services, Securities and Exchange Commission, Corporate / Securities Law, Law, Family, Elderly (Senior Citizen), Personal Finance, Retirement, IRA

Thu May 23, 2013

Customer Interaction Solutions

Tremor Video Files for Proposed Initial Public Offering

Tremor Video, Inc., a leading provider of technology-driven video advertising solutions, today announced that it has filed a registration statement on Form S-1 with the U.S. Securities and Exchange Commission for a proposed initial public offering of its common stock.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Credit Suisse Asset Mnagement Income Fund, Investment Banking, Jefferies Group, Investment Services, Oppenheimer Holdings

Reuters

UPDATE 2-Former Goldman banker settles SEC 'pay-to-play' charges

A former Goldman Sachs Group Inc. investment banker has agreed to a five-year securities industry ban and a record fine to settle U.S. Securities and Exchange Commission charges that he broke rules against influence peddling to win bond underwriting business in Massachusetts.

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

Reuters

RPT-U.S. SEC charges ex-LPL adviser with $2 mln civil fraud

The top U.S. securities regulator on Thursday filed civil fraud charges against a former LPL Financial LLC adviser, charging he diverted some $2 million of client funds to use for personal expenses.

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

Reuters

Goldman unveils checks on conflicts in bid to fix image

After dozens of meetings with executives and regulators, 100,000 hours of employee training and an immeasurable amount of public grief, Goldman Sachs Group Inc ( At Goldman's annual meeting on Thursday, Blankfein unveiled details of a three-year review and overhaul of the bank's practices in dealing with clients, following high-profile missteps ... (more)

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Related Topix: Goldman Sachs, Financial Services, Investment Services, Securities and Exchange Commission, Corporate / Securities Law, Law, Lake City

Reuters

SoftBank would add 'security director' to Sprint board

SoftBank Corp would appoint a "security director" to Sprint Nextel Corp's board if its takeover bid succeeds and give the U.S. government right of approval on the appointment in hopes of easing national security concerns raised by the proposed deal.

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Related Topix: Sprint Nextel, Telecom, IT Services, SoftBank, Financial Services, Investment Services

Business Journal

WellCare names David Gallitano to top board post

Gallitano, a WellCare director since 2009, succeeds Charles Berg , who stepped down from the board at the end of today's annual shareholders' meeting.

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

Wed May 22, 2013

Ralston Recorder

Newest director doesn't own Berkshire Hathaway shares

At least one person is likely to buy Berkshire Hathaway Inc. stock sometime soon.

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Related Topix: Construction, Berkshire Hathaway, Investment Services, Business Wire, Berkshire Hathaway , Startups, Insurance, Empire Group, Warren Buffett, Financial Services

Burlington Times News

Feds open special inspection into N.C. nuclear plant

Federal regulators said Wednesday that they are conducting a special inspection of a nuclear power plant outside North Carolina's capital city that was forced to shut down last week after operators discovered corrosion and cracking in the reactor vessel's covering.

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Related Topix: Nuclear Energy, Duke Energy, Energy, Financial Services, Progress Energy, Oil & Gas, Wake County, NC

CSP

CST Brands' Financial Position 'Solid'

CST Brands Inc., one of the largest independent retailers of motor fuels and convenience merchandise in North America, reported that its net income for first-quarter 2013 was $21 million, compared to $14 million for first-quarter 2012, within the range of $17 million to $23 million it announced in conjunction with its offering of senior notes in ... (more)

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Valero Energy, Energy, Oil & Gas

Reuters

UPDATE 1-SEC charges South Miami with fraud over debt deals

The city of South Miami, Florida, defrauded investors by not disclosing problems with the tax-exempt status of two bond deals, U.S. securities regulators said on Wednesday in their second municipal bond fraud-enforcement action this month.

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

La Verne Online

Interest in Local Grocer Sprouts with Announcement of Pending IPO

Phoenix-based Sprouts Farmers Market, with a thriving location in Claremont, is going public and hopes to raise $300 million in its initial public offering.

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Related Topix: Financial Services, Marketing

Business Wire

CEO of Immune Pharmaceuticals to Present at BioEquity Europe 2013

Immune Pharmaceuticals Ltd. , a privately held Israeli company, and EpiCept Corporation announced today that Daniel Teper, Chief Executive Officer of Immune, will be presenting at the BioEquity Europe 2013 conference at the Varumottagning Sheraton Hotel in Stockholm, Sweden on Thursday, May 23, at 1:30 PM local time in the St.

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Related Topix: Biotech, EpiCept, Sweden, World News, Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services

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