US Securities and Exchange Commission News

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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.

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

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

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.

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.

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.

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 .

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.

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.

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.

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)

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.

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

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

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.

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)

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.

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.

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.