Corporate / Securities Law News
News on Corporate / Securities Law continually updated from thousands of sources around the net.
49 min ago | Reuters
A Republican lawmaker slammed the Securities and Exchange Commission over leaks of confidential information to media outlets, including Reuters, calling the disclosures "unacceptable."
4 hrs ago | Colorado Springs Independent
Heidi Ann Gamer , a 41-year-old who previously sold ads for the Gazette is being sued for three counts of fraud by the Securities and Exchange Commission in Georgia district court for allegedly defrauding investors in around nine states of at least $771,900.
5 hrs ago | Wall Street and Tech
It's been a quiet summer for swap trading venues. SEF trading has been mandatory for many over-the-counter derivatives, mainly credit indexes and interest rates, since midFebruary.
10 hrs ago | Examiner.com
The Securities and Exchange Commission today announced a settlement in which Bank of America admits that it failed to inform investors during the financial crisis about known uncertainties to future income from its exposure to repurchase claims on mortgage loans.
12 hrs ago | AmericanBankingNews.com
Trio Merger Corp. major shareholder John P. Pecora purchased 16,934 shares of Trio Merger Corp. stock in a transaction dated Monday, August 18th.
ExOne major shareholder Century Ventures Ltd Novel sold 149,410 shares of the company's stock in a transaction that occurred on Monday, August 18th.
K: CADY), a leader in the on-course delivery of technology services and content to golfers, is pleased to announce that it has filed a registration statement on Form S-1 with the Securities and Exchange Commission for a proposed direct public offering of its common stock and a proposed offering for resale of existing shares of its common stock held ... (more)
Louis Joseph Brothers used sales of military-grade electronics to Hong Kong to boost the revenue for his business, then resigned from the company he founded when federal investigators started questioning the sales and the company fell apart.
In a 13D filing with the Securities and Exchange Commission, Icahn said he has accumulated an 8.48% stake in Hertz and intends to engage the company about its accounting issues, operational failures and overall underperformance relative to peers.
Ocwen Financial Corporation generated a few headlines last week, including here on HousingWire , when it announced that it would be restating its 2013 and 2014 earnings after its auditor found a potential "material weakness" in in the way it valued and recorded a financial transaction.
SeaWorld Entertainment has dropped an appeal of citations it received after the drowning of a trainer who was pulled under by a killer whale.
Four Oaks Fincorp major shareholder Kenneth R. Lehman acquired 15,125,000 shares of the stock on the open market in a transaction that occurred on Friday, August 15th.
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a... ; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Options on Shares of the iShare ETFs Citation: "79 FR 49140" Document Number: "Release No.
Groundfloor Inc. , one of several startups that crowdfunds investments in real estate, raised $1 million in seed funding and moved its headquarters to Atlanta in search of less-restrictive crowdfunding rules.
Village Super Market major shareholder Of Perry Sumas Estate sold 6,889 shares of Village Super Market stock in a transaction that occurred on Tuesday, August 19th.
On August 4, the Securities and Exchange Commission's Office of Investor Education and Advocacy issued an Investor Alert to assist investors in identifying potentially fraudulent private placements.
The Offering was undertaken by a syndicate of underwriters led by Macquarie Capital Markets Canada Ltd. and including Loewen, Ondaatje, McCutcheon USA Limited, Tempest Capital Corp. and H.C. Wainwright & Co.
Updated: Thu Aug 21, 2014 06:43 pm
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