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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.

1 hr ago | Caribbean News Now!

Wall Street executives arrested in Venezuela bribery scheme

The chief executive officer and a managing partner of a New York-based US broker-dealer were arrested on Monday on felony charges arising from a conspiracy to pay bribes to a senior official in Venezuela's state economic development bank.

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

2 hrs ago | Customer Interaction Solutions

Zoosk Files Registration Statement for Proposed Initial Public Offering

The number of shares to be offered and the price range for the proposed offering have not yet been determined.

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Related Topix: Online Dating, Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Oppenheimer Holdings, Investment Services

6 hrs ago | Reuters

Online dating website Zoosk files for IPO of up to $100 million

Online dating website Zoosk Inc filed with U.S. regulators on Wednesday to raise up to $100 million in an initial public offering of common stock.

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Related Topix: Zoosk, Online Dating, Financial Services, Venture Capital, Emerging Technology

10 hrs ago | Los Angeles Times

Hard Rock Hotel Palm Springs seeks $1.5 million in crowdfunding

If you're on your way to or from the sun-baked Coachella Valley Music and Arts Festival this weekend and get the urge to become a hotel owner, you may be in luck -- as long as you have at least $10,000 to spend.

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Related Topix: Financial Services, Entertainment

12 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

13 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

17 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

18 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

22 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

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