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Corporate / Securities Law News

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

1 hr ago | The Boston Globe

Brokerage, ex-manager still sparring

Oppenheimer & Co. warned its former Boston office manager and his lawyer in an e-mail not to give documents relating to the Wall Street brokerage to federal regulators.

Comment?

Related Topix: Securities and Exchange Commission, Law

5 hrs ago | Institutional Investor

SEC Drops Moody's Probe, Warns On Overseas Ratings Fraud

The Securities and Exchange Commission has warned credit rating agencies that the recently passed financial reforms in the Dodd-Frank Act allows the regulator to pursue fraud cases overseas if it could harm the U.S., according to Financial Times .

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Related Topix: Securities and Exchange Commission, Law

Wed Sep 01, 2010

The Daily News

Some BofA Shareholders Can Apply to Tap $150M Fund

Investors who lost money when Bank of Name Search Watch Service ', TITLE, 'Learn More', WIDTH, 200, SHADOW, true, STICKY, 1, CLOSEBTN, true, CLICKCLOSE, true, BGCOLOR, '#e1e1e1', BORDERCOLOR, '#7d0200', TITLEBGCOLOR, '#7d0200')" onmouseout="UnTip()">America Corp .

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Related Topix: Securities and Exchange Commission, Law, Opinion

South Florida Business Journal

Ecosphere reports rogue stock sales

Most companies use press releases to announce that they are selling stock, but Ecosphere Technologies put out a release, telling investors not to bite on "cold call and classic misrepresentations" allegedly made by a Fort Lauderdale-based company selling its stock.

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Related Topix: Securities and Exchange Commission, Law

Reuters

UPDATE 1-Ex-hedge fund manager charged with insider trading

A former hedge fund manager has been accused by a U.S. regulator of illegal insider trading in MedImmune Inc securities prior to the acquisition of the pharmaceutical company by Britain's AstraZeneca Plc .

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Related Topix: Biotech, Medicine, MedImmune, Healthcare Industry, Securities and Exchange Commission, Law, Financial Services

Federal Times

Federal News, Government Operations, Agency Management, Pay & Benefits - FederalTimes.com

The Nuclear Regulatory Commission and the Government Accountability Office once again top the list of Best Places to Work in the federal government, according to a new report that will be released Wednesday.

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Related Topix: Securities and Exchange Commission, Law

Free Republic

EPA fines Tesla Electric Motors $275,000 for non-compliance

In bureaucracy, truth is often stranger than fiction. A non polluting electric car company gets slammed with fine for 'non compliance' for a car that can't produce any emissions.

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Related Topix: U.S. Environmental Protection Agency, Securities and Exchange Commission, Law

WebCPA

SEC Charges Koss Accountants with Fraud

The Securities and Exchange Commission has charged two former senior accounting professionals at headphone maker Koss Corp.

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Related Topix: Electronics, Koss, Securities and Exchange Commission, Law

Tue Aug 31, 2010

The Dallas Morning News

Dallas man pleads guilty in Provident Royalties' oil, gas scam case

A Dallas man has pleaded guilty in connection with one of North Texas' largest oil and gas investment schemes.

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Related Topix: Dallas, TX, Retail, Tuesday Morning, Securities and Exchange Commission, Law, Criminal Defense Law

Newswatch 50

SEC warns agencies against deceptive ratings

WASHINGTON a " Federal regulators are warning credit rating agencies that they could face civil fraud charges for giving inaccurate ratings to investments.The Securities and Exchange Commission issued the warning Tuesday in a report on its investigation into a possible violation of the law by Moody's Investors Service, one of the three big rating ...

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Related Topix: Securities and Exchange Commission, Law

GlobeNewswire

Nanotech Industries International Inc. Completes Reverse Merger With EPOD Solar, Inc.

EPOD Solar Inc. , announced today the completion of its reverse merger with Nanotech Industries International Inc.

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Related Topix: Law

Home Channel News

BlueLinx largest shareholder to attempt takeover

Cerberus ABP Investors, an affiliate of Cerberus Capital Management, has announced in a July 22 filing with the Securities and Exchange Commission that it intends to make a tender offer for all of the outstanding publicly held shares of BlueLinx Holdings Inc.

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Related Topix: Securities and Exchange Commission, Law

MarketWatch

Insiders' reaction to August's decline

Cheer up, beleaguered stock market investors! Corporate insiders have cut back on the pace of their selling of shares of their companies' stock -- and increased the pace of their buying.

Comment?

Related Topix: Securities and Exchange Commission, Law

Kansas City Star

Former investment adviser pleads guilty to fraud

A former Lees Summit investment adviser pleaded guilty in federal court Monday to defrauding two North Carolina women of about $1.26 million between 1999 and 2007.Mark S. Greenway, 52, has faced other complaints about his business practices.

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Related Topix: Lees Summit, MO, Securities and Exchange Commission, Law

Mon Aug 30, 2010

Professor Bainbridge on Wine

Corporate Law and Governance Blogs

JW Verret posted a list of corporate law blogs he regularly reads. I read all of the ones he cited, plus a few more: Professor Bainbridge .

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Related Topix: Blog News

AllCarsElectric

Tesla Fined $275,000 Over Emissions Regulations

With electricity not always generated through renewable methods, it can be hard to claim that an EV is truly zero-emissions. It's generally accepted that you aren't pumping any gasses out the back as you drive along, though.

Comment?

Related Topix: Tesla Roadster, Electric Vehicle, Environmental Law, Law, U.S. Environmental Protection Agency, Securities and Exchange Commission

San Jose Business Journal

Job search engine PageBites raises $10.3M

Job search engine PageBites Inc. has raised nearly $10.3 million in new funding, the company said in a filing Monday with the Securities and Exchange Commission .

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Related Topix: Internet, Science / Technology, Securities and Exchange Commission, Law

Mondaq.Com

New Zealand: Shakeup For Collective Investment Schemes In Securities Law Review - Chapman Tripp

They get their own chapter in the Ministry of Economic Development's 200 page discussion document and are the subject of 45 questions for consultation.

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Related Topix: Securities and Exchange Commission, Law

Institutional Investor News

CFTC Consults DoJ In CME Case

The futures regulator has discussed with the DoJa s antitrust division and received advice from the departmenta s lawyers.

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Related Topix: US News, Law

HeraldTribune.com

Horizon Bank nears deadline

Published: Monday, August 30, 2010 at 1:00 a.m. Last Modified: Saturday, August 28, 2010 at 4:56 p.m. THE PARENT OF BRADENTON'S Horizon Bank continues to battle for survival, hoping a last-ditch stock sale will raise enough fresh capital to hold off regulators.

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Related Topix: Bradenton, FL, Securities and Exchange Commission, Law

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