Bookmark

Add to MyYahoo RSS

Corporate / Securities Law News

News on Corporate / Securities Law continually updated from thousands of sources around the net.

1 hr ago | Federal Bureau of Investigation

New York: Executive pleads guilty to role in $3 million securities fraud scheme.

Yesterday, Cecil Franklin Speight, also known as Frank Speight, pleaded guilty to conspiracy to commit mail fraud and securities fraud for engaging in a conspiracy to steal over three million dollars from investors.

Comment?

Related Topix: Prison, Securities and Exchange Commission, Law, Criminal Defense Law, US News, US Federal Bureau of Investigation

5 hrs ago | The China Post

SEC votes to end US$1 a share for some funds

Regulators have voted by a narrow margin to end a longtime staple of the investment industry - the fixed US$1 share price for money-market mutual funds - at least for some money funds used by big investors.

Comment?

Related Topix: Securities and Exchange Commission, Law, Mutual Funds, Personal Finance

9 hrs ago | Bellingham Herald

Morgan Stanley paying $275M to settle SEC charges

The Securities and Exchange Commission announced the settlement Thursday with the Wall Street bank.

Comment?

Related Topix: Stanley, Securities and Exchange Commission, Law, Home, Mortgage, Personal Finance, Financial Markets

13 hrs ago | Business Journal

Sarepta terminates chief science officer as it heads toward drug approval

Arthur Krieg was hired to the company just six months ago as senior vice president and chief scientific officer.

Comment?

Related Topix: Securities and Exchange Commission, Law

15 hrs ago | Hispanic Business

Brinks Co Files (8-K) Disclosing Results of Operations and Financial...

In accordance with General Instruction B.2 of Form 8-K, the information in this Current Report on Form 8-K, including Exhibits 99.1 and 99.2, shall not be deemed "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended , or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by ... (more)

Comment?

Related Topix: Law

20 hrs ago | Business Journal

Venari Resources raises $1.5B to fund oil exploration in the gulf

Venari Resources LLC raised nearly $1.5 billion in private equity funding to finance the Addison-based company's drilling efforts in the Gulf of Mexico, according to Securities and Exchange Commission filings.

Comment?

Related Topix: Securities and Exchange Commission, Law

Wed Jul 23, 2014

Reuters

Standard & Poor's may face SEC charges over ratings

The parent of Standard & Poor's, which is defending against a $5 billion lawsuit by the federal government over its credit ratings, said on Wednesday it may soon also face U.S. Securities and Exchange Commission charges over another set of ratings.

Comment?

Related Topix: Securities and Exchange Commission, Law, US Securities and Exchange Commission, Financial Services, Home, Mortgage, Personal Finance

Brandon Sun

S&P says regulators considering action against it over mortgage securities ratings in 2011

Standard & Poor's says regulators have told the rating agency they are considering taking civil enforcement action against it over ratings it gave to six deals in 2011 involving securities tied to commercial mortgages.

Comment?

Related Topix: Securities and Exchange Commission, Law

Myrtle Beach Online

Former Myrtle Beach lawyer facing criminal charges over investment scheme

Also charged are Global Holdings co-founder Robert Dane Freeman, a former N.C. investment advisor, and Charles Lowell Walker, who helped recruit investors.

Comment?

Related Topix: Myrtle Beach, SC, Financial Markets, US Securities and Exchange Commission, Financial Services, Securities and Exchange Commission, Law

WTHR-TV Indianapolis

SEC votes to end $1 a share for some money funds

After two days of jury selection, lawyers are poised to give opening statements in the trial of a Detroit-area man who opened his front door and shot an unarmed woman, killing her.

Comment?

Related Topix: Securities and Exchange Commission, Law, US News, Georgia, Mutual Funds, Personal Finance

Hispanic Business

Micron Announces Proposed $750 Million Offering of Senior Notes

The interest rate, redemption provisions and other terms of the Notes will be determined by negotiations between Micron and the initial purchasers.

Comment?

Related Topix: Law

Reuters

Derivatives group ISDA says CFTC commissioner O'Malia to be CEO

The International Swaps and Derivatives Association , a financial industry lobby group, named Commodity Futures Trading Commission commissioner Scott O'Malia as chief executive.

Comment?

Related Topix: Law

Tue Jul 22, 2014

NewsOK.com

SEC poised to end $1 a share for some money funds

Regulators are expected to vote Wednesday to end a longtime staple of the investment industry - the fixed $1 share price for money-market mutual funds - at least for some money funds used by big investors.

Comment?

Related Topix: Securities and Exchange Commission, Law, Mutual Funds, Personal Finance

Hispanic Business

Tortoise Capital Advisors, L.L.C. Announces Release of Second Quarter ...

These reports are also available online at www.tortoiseadvisors.com . Please call 362-9331 or email info@tortoiseadvisors.com to request hard copies of these reports free of charge.

Comment?

Related Topix: Law

Business Journal

Crocs shoots to increase profitability; CEO search goes on

Crocs Inc. will attempt to increase its profit margin by 4.5 percentage points using tactics that are part of a major restructuring announced Monday , just ahead of a quarterly earnings filing that revealed a steep decline in net income.

Comment?

Related Topix: Securities and Exchange Commission, Law

Business Journal

Four things you may not know about the Reliant-Commerce Union merger

As part of its merger with Reliant Bank of Brentwood, Commerce Union Bank intends to issue around $41.6 million in common stock to fund part of the all-stock transaction, according to a recent filing with the Securities and Exchange Commission.

Comment?

Related Topix: Securities and Exchange Commission, Law

JD Supra

2014 Amendments to the Delaware General Corporation Law

On July 15, 2014, Delaware Governor Jack Markell signed Delaware House Bill No. 329, which makes a number of noteworthy changes to the Delaware General Corporation Law.

Comment?

Related Topix: Law, US Governors, Jack Markell

Reuters

UPDATE 1-Investor relations partner settles U.S. SEC insider-trading charges

A New York-based investor relations executive on Tuesday agreed to settle civil charges that he illegally traded with inside information obtained while preparing press releases for company clients, U.S. regulators said.

Comment?

Related Topix: Securities and Exchange Commission, Law

University of Florida News

UF economics professor named chief economist for Securities and Exchange Commission

Flannery will take leave from his scholarly commitments at Warrington to fulfill his duties at the SEC starting Sept.

Comment?

Related Topix: Law, Securities and Exchange Commission

Hispanic Business

Geltech Solutions, Inc. Files (8-K) Disclosing Unregistered Sale of Equity Securities

The shares of common stock and warrants were issued without registration under the Securities Act of 1933 in reliance upon the exemption provided in Section 4 and Rule 506 thereunder.

Comment?

Related Topix: Law

•••
•••
•••
•••

Corporate / Securities Law Hot Topics

•••
•••
•••