Corporate / Securities Law News

AirXpanders, led by CEO Scott Dodson, disclosed in an SEC filing that it has raised about $4 million of a planned $9 million funding round.

In addition, Intercept has granted the underwriters a 30-day option to purchase up to an additional 259,500 shares of common stock.

Franklin-based Agilum Healthcare Intelligence Inc. has raised $1.82 million in an equity offering, according to a filing with the Securities and Exchange Commission.

David F. Bahr, 54, admitted that he and others attempted to artificially inflate the price of shares of iTrackr, a penny stock.

The chairman of the Securities and Exchange Commission says the agency will start requiring companies and individuals to admit wrongdoing in some big settlements.

The chairman of the Securities and Exchange Commission says the agency will start requiring companies and individuals to admit wrongdoing in some big settlements.

In recent years the U.S. Department of Labor, the Securities and Exchange Commission, and the General Accountability Office have all advised companies sponsoring retirement plans that conflicts of interest related to investment consultants to plans are widespread and that these conflicts have resulted in reduced returns, as well as higher fees for ... (more)

As insurance products become more complex, the industry needs to redouble its efforts to fully disclose their risks, a federal regulator said today.

As criminals continue to target seniors for financial scams, U.S. Senator Bob Casey , today, introduced new legislation that would stiffen penalties for fraud against seniors.

We interview Jonathan Macey, who is Yale University's Sam Harris Professor of Corporate Law, Corporate Finance and Securities Law.

The Republic Bank of Trinidad and Tobago has displaced the Social Security and National Insurance Trust as the largest institutional shareholder in HFC Bank, raising fears of a possible takeover and subsequent rebranding of one of the country's most established indigenous banks.

FOR AN industry that routinely makes multibillion-dollar deals with developing world governments and an array of sometimes controversial leaders, the mining sector has been remarkably free of political scrutiny.

A Moore County man was charged Monday with commodity pool fraud after authorities said he misused funds in a commodity pool, a private fund that combines investor money to make more profitable trades in the futures and commodities markets.

Federal prosecutors and securities regulators have accused two Dallas executives of a medical insurance company of operating a $10 million Ponzi scheme involving at least 80 investors.

Ronald O. Perelman's attempt to take Revlon private in 2009 resulted in an $850,000 federal penalty and $37 million in settlements of private lawsuits.

Once again, TIAA-CREF has denied its shareholders the right to have their voices heard through the ballot box at this year's shareholder meeting.

Neutra Corp. , a provider of all-natural wellness solutions, welcoms a new law passed in Nevada last week allowing medical marijuana patients to obtain their medicine from dispensaries at last.

First Liberty Power Corp. , an innovative and diversified mine exploration and development company focused on bringing to market "Mined in America" strategic industrial minerals, announced today that the Small Mine Development mining personnel are scheduled to be on location at the Fencemaker antimony mining project starting Monday.

A look back at some of the biggest small business and start-up stories from the past week, with a focus on Washington.

Two leading Thai government agencies are thoroughly examining the money trail of bankrupt fitness centre California Wow Experience , with preliminary evidence pointing to a swindling of the public, according to a senior officer of the Securities and Exchange Commission .