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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 | Market Wire

Poly Shield Technologies Inc., Announces Resignation of Director and President

Poly Shield Technologies Inc., announces that James Pakulis has resigned as President and director of the Company.

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Related Topix: Securities and Exchange Commission, Law

1 hr ago | Examiner.com

With GrowLife Inc. (OTCBB:PHOT) frozen, is CannaVest (OTCMKTS:CANV) next?

CannaVEST Corp . took a sharp turn upward in Wednesday's trading closing at $24.15, up $7.27 .

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Related Topix: Law

5 hrs ago | Reuters

UPDATE 1-New York prosecutor probes high-speed trading -source

The New York attorney general is probing more than half a dozen high-speed trading firms, a person familiar with the matter said on Wednesday, as part of his wide-ranging probe into alleged unfair technology advantages on Wall Street.

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Related Topix: Law, US News, US Federal Bureau of Investigation

9 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, US Securities and Exchange Commission, Financial Services, Securities and Exchange Commission, Law

10 hrs ago | InvestmentNews

SEC charges San Diego-based investment adviser with fraud

The Securities and Exchange Commission has charged a San Diego-based investment advisory firm and its executives with breach of fiduciary duty and fraud, claiming the firm received undisclosed kickbacks for recommending investments to clients.

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Related Topix: Securities and Exchange Commission, Law

14 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: Law, Financial Services, US Securities and Exchange Commission, Securities and Exchange Commission, Marijuana

17 hrs ago | Finextra Research news

SEC to conduct market-wide cyber-security checks

The Securities and Exchange Commission is to conduct checks on more than 50 registered broker-dealers and investment advisors to assess their ability to counteract cyber-security threats.

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Related Topix: Securities and Exchange Commission, Law

Tue Apr 15, 2014

The Advocate

BR Stanford investors lose appeal against regulator

Five Baton Rouge residents, a family company and a family trust cannot recover from the federal government $3.5 million stolen by Houston promoter Robert Allen Stanford, an appellate panel ruled Tuesday.

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Related Topix: Baton Rouge, LA, Federal Prisons, Prison, Criminal Defense Law, Law, Securities and Exchange Commission

AmericanBankingNews.com

Insider Buying: Corp /De/ Celgene Acquires 714,286 Shares of Alliqua Stock

Alliqua major shareholder Corp /De/ Celgene bought 714,286 shares of the company's stock in a transaction that occurred on Monday, April 14th.

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Related Topix: Securities and Exchange Commission, Law

Investor's Business Daily

Athlon Energy Launches Proposed $500 Million Senior Notes Offering

Athlon Energy Inc. announced today that Athlon Holdings LP and its co-issuer and wholly owned subsidiary, Athlon Finance Corp. propose to offer, subject to market conditions and other factors, $500 million aggregate principal amount of senior notes due 2022 to qualified institutional buyers pursuant to Rule 144A under the Securities Act of 1933, ... (more)

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Related Topix: Law

Washington Times

Energy Future misses deadline to file SEC report

Energy Future Holdings says it's still not ready to file its already delayed annual report, taking the company one step closer to bankruptcy and potentially jeopardizing environmental reclamation funds owed to Texas.

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Related Topix: Securities and Exchange Commission, Law, Economics News, Bankruptcy

Sys-Con Media

Flotek Industries Announces Appointment of Amerr Mahgoub as Vice...

As the leader of Flotek's Middle Eastern business development and marketing team, Mahgoub will focus on development of new and existing markets for Flotek, including the development of markets served by the Flotek-Gulf Energy joint venture based in the Sultanate of , Mahgoub joined Schlumberger as a field engineer.

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Related Topix: Flotek Industries, Chemicals, Marketing, Law

Washington Examiner

Court overturns 1 SEC conflict minerals provision

A federal appeals court has overturned a disclosure requirement that public companies must post information about their use of minerals from Congo, where militias linked to atrocities have profited from mining minerals used in electronics, jewelry and other goods.

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Related Topix: Securities and Exchange Commission, Law

Mon Apr 14, 2014

Holtville Tribune

CEO and Managing Partner of Wall Street Broker-Dealer Charged with...

The chief executive officer and a managing partner of a New York-based U.S. broker-dealer were arrested today 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: US News, US Federal Bureau of Investigation, Securities and Exchange Commission, Law

AmericanBankingNews.com

Insider Buying: Rlj Spac Acquisition, Llc Acquires 6,000 Shares of RLJ Entertainment Stock

RLJ Entertainment major shareholder Rlj Spac Acquisition, Llc bought 6,000 shares of RLJ Entertainment stock on the open market in a transaction dated Friday, April 11th.

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Related Topix: Securities and Exchange Commission, Law

USA Today

Citigroup's Q1 earnings beat estimates

Citigroup's first-quarter earnings were $1.30 a share, beating Wall Street forecasts.

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

InvestmentNews

When a regulator like Rick Fleming sounds more like a politician, it could be a good thing

When the new Securities and Exchange Commission 's investor advocate introduced himself publicly last week, he sounded more like a politician than a regulator.

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Related Topix: Securities and Exchange Commission, Law, Kids, Family

Daily Kos

"Insiders Tell All: Both the Stock Market and the SEC Are Rigged," by Pam Martens

Since bestselling author Michael Lewis appeared on 60 Minutes on March 30 to promote his new book, "Flash Boys," and explained how the U.S. stock market is rigged; and Brad Katsuyama, the head of IEX, an electronic trading platform who plays a central role in the Lewis book, did the same on CNBC a few days later, the debate has gone viral.

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Related Topix: Securities and Exchange Commission, Law, Blog News, US News, Criminal Defense Law, Liberal Political News

CNN

Invest in next Facebook...for a few bucks

Plenty of people have donated a few dollars on Kickstarter to help fund everything from jeans to school field trips and the new "Veronica Mars" movie.

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

Sys-Con Media

Triangle Petroleum To Recognize Gain On Caliber Investment For Fiscal ...

The gain recognition results from the classification of the trigger units, trigger unit warrants, and warrants as equity investment derivatives, which are revalued periodically in accordance with U.S. generally accepted accounting principles.

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Related Topix: Securities and Exchange Commission, Law

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