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Corporate / Securities Law News

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

9 min ago | AmericanBankingNews.com

Insider Selling: 5Am Partners Ii, Llc Sells 433,000 Shares of Relypsa Stock

Relypsa major shareholder 5Am Partners Ii, Llc sold 433,000 shares of the stock on the open market in a transaction dated Tuesday, August 26th.

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Related Topix: Securities and Exchange Commission, Law

4 hrs ago | Denver Post

Solera Bank mortgage lending division quit in aftermath of proxy fight

In the aftermath of a testy proxy battle this summer for control at Solera National Bancorp - one that included the resignation of its board of directors and the subsequent firing of its CEO - the entire mortgage-lending division quit, according to a federal filing.

Comment?

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

6 hrs ago | JD Supra

SEC Issues Valuation Guidance for Funds Holding Certain Short-Term Debt Securities

The Securities and Exchange Commission recently provided some expanded valuation guidance to mutual funds in its release on Money Market Fund Reform dated July 23, 2014.

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

10 hrs ago | JD Supra

SEC Charges Colorado Woman and Her Two Companies with Offering Fraud

On August 15, the Securities and Exchange Commission filed a complaint against Heidi Ann Gamer and two companies under her control, Gamer Economic Systems, LLC and Gamer Media Partners Corp. The SEC alleged that between August 2011 and August 2012, Gamer fraudulently sold $771,900 of securities to over three dozen investors.

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Related Topix: Securities and Exchange Commission, Law

11 hrs ago | Greenwich Citizen

SEC adopts rules on loan-backed securities

Financial firms that sell securities backed by loans, like the kind that fueled the 2008 financial crisis, will have to give investors details on borrowers' credit record and income under action taken Wednesday by federal regulators.

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

16 hrs ago | AmericanBankingNews.com

usell.com Director Peter Benz Buys 5,000 Shares

The shares were purchased at an average cost of $2.97 per share, for a total transaction of $14,850.00.

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Related Topix: Securities and Exchange Commission, Law

20 hrs ago | JD Supra

CFTC Provides Limited Relief to SEFs from Certain Confirmation and Recordkeeping Requirements

On August 18, the Commodity Futures Trading Commission's Division of Market Oversight issued No-Action Letter No.

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Related Topix: Law

Tue Aug 26, 2014

TheStreet.com

Galena CEO Fired Following Stock-Promotions Scandal

Your browser is not supported. Please upgrade to one of the following browsers: Google Chrome Mozilla Firefox Apple Safari Microsoft Internet Explorer 8+ You may proceed to the site by clicking here , however some pages might not work correctly.

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Related Topix: Mozilla, Securities and Exchange Commission, Law, TheStreet, Business News

AmericanBankingNews.com

China Yida Holding major shareholder Sells $39,702 in Stock

China Yida Holding major shareholder Pope Investments Ii Llc unloaded 7,800 shares of China Yida Holding stock in a transaction dated Tuesday, August 26th.

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Related Topix: China, Asia, World News, Securities and Exchange Commission, Law

Inside Bay Area

Subpoena of West Contra Costs district reveals scope of inquiry

The Securities and Exchange Commission sought a much broader range of documentation and financial records related to the West Contra Costa school district's $1.6 billion bond program than earlier thought, according to the subpoena released Tuesday in response to a public records request by this newspaper.

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Related Topix: Securities and Exchange Commission, Law, Contra Costa County, CA

Business Journal

Commodity Futures Trading Commission charges R2 Capital Group with fraud

Marcia Krieger , chief U.S. District Court judge in Colorado, has issued a restraining order freezing the assets of the owners of Denver-based R2 Capital Group and other holding companies.

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Related Topix: Law, Stamford, CT

Business Journal

CNG-at-home startup Simple-Fill raises $170K

Simple-Fill Inc., which is developing technology to allow vehicles running on compressed natural gas to fill up at home, has raised $170,000 through convertible notes offered to three investors, the company disclosed in a Securities and Exchange Commission filing .

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Related Topix: Securities and Exchange Commission, Law

CFO

Anti-Takover Laws Highlight Fiduciary Dilemma for Boards

Directors have to protect both the company's and its shareholders' interests, which can conflict, as in the case of some coercive takeover bids.

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Related Topix: Law

Malaysian National News Agency

Argentina: Arrest Directors For Fraudulent Bankruptcy

BUENOS AIRES, Aug 26 -- Argentina's tax office, AFIP, Federal Public Incomes Administration president Ricardo Echegaray announced it had requested the arrest of the Donnelley board of directors for what he called "playing a trick and inventing a fraudulent bankruptcy" for the printing plant located in Buenos Aires province.

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Related Topix: Donnelley R R and Sons, Commercial Printing, Publishing, Law, Securities and Exchange Commission

Business Law Prof Blog

Sex, Lies, and . . . Crowdfunding

This follows on Ann's post yesterday on Gender and Crowdfunding . Ann, so glad you've joined me and Steve Bradford as securities crowdfunding watchers! Delighted to have you in that informal, somewhat disgruntled "club."

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Related Topix: Securities and Exchange Commission, Law

Mon Aug 25, 2014

WebCPA

SEC Charges Telco Execs in Rev Rec Scheme

The Securities and Exchange Commission is bringing charges against a telecommunications equipment maker and two of its former executives for improperly recognizing as revenue over a million dollars' worth of inventory.

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Related Topix: Securities and Exchange Commission, Law

JD Supra

Form D: Short But Not Simple.

Companies selling securities are generally required to register the offering with the Securities and Exchange Commission .

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Related Topix: Securities and Exchange Commission, Law

TheStreet.com

China Housing and Land Goes Private as Property Market Slumps

But at that time China's real estate market -- a pillar of the nation's economy -- had already started a slump that's continuing today.

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Related Topix: Securities and Exchange Commission, Law

Hispanic Business

Securities and Exchange Commission of Pakistan express contentment...

Securities and Exchange Commission of Pakistan express contentment over state of preparedness for divestment of shares of Lahore Stock Exchange -... as per requirement of the Stock Exchanges Act, 2012.

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Related Topix: Securities and Exchange Commission, Law, Pakistan, World News

Business Journal

SEC: Judge rules Timbervest principals committed fraud

Administrative Law Judge Cameron Elliot found Atlanta-based Timbervest LLC and its four principals committed fraud and ordered them to disgorge almost $2 million in unlawful profits, the Securities and Exchange Commission reported Monday.

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Related Topix: Securities and Exchange Commission, Law

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