Corporate / Securities Law News

Combined with the store closings, the drop in revenue was also affected by an amendment to the State of Utah Safety Inspection Regulations which became effective or 3.5%. The change was due to increases in monthly rents/maintenance, plus the costs of operating the 5 stores acquired in 2012 for the same period in 2012.

The Securities and Exchange Commission is more active than ever, filing 734 actions in 2012 and seeking an 18.5 percent increase in its 2013 budget.

The Securities and Exchange Commission has filed charges against a senior equity trader at Cushing MLP Asset Management LP for allegedly front running client orders.

The Securities and Exchange Commission on Friday charged a Dallas-based broker who allegedly improperly profited by placing his own secret trades ahead of large block trades he executed for clients.

Renteria,a former Stabenow staffer, is being considered at for a spot in the Obama administration.

A woman waits for an elevator in the foyer of the Fort Worth Regional Office of the Securities and Exchange Commission in Fort Worth, Texas June 28, 2012.

Carl Clark, who was fired from his job at Georgeson Inc. after exposing a scheme to sell confidential corporate voting data, stands to receive little or no reward for helping regulators crack the case.

Tnemec Co. Inc. sold $409,493 in equity in a private offering that commenced on May 13, according to a filing with the Securities and Exchange Commission.

A former Goldman Sachs Group Inc. investment banker has agreed to a five-year securities industry ban and a record fine to settle Securities and Exchange Commission charges that he broke rules against influence peddling to win bond underwriting business in Massachusetts.

A prominent firm in the business of advising big shareholders on how to vote in elections for company directors is paying a $300,000 fine to settle federal civil charges of failing to protect clients' confidential voting information.

The top U.S. securities regulator on Thursday filed civil fraud charges against a former LPL Financial LLC adviser, charging he diverted some $2 million of client funds to use for personal expenses.

An influential shareholder advisory firm, Institutional Shareholder Services, on Thursday was fined $300,000 by the Securities and Exchange Commission for failing to set up safeguards to protect the voting information of some of its institutional investor clients.

WOW! Internet, Cable & Phone , a leading fully integrated provider of residential and commercial high-speed data, video and telephony services to customers in the Midwestern and Southeastern United States, today reported financial and operating results for the first quarter ended March 31, 2013.

A Securities and Exchange Commission fraud complaint has been filed against Capital Management Associates Inc.

Tesla could have been worth a lot more when it comes to the bottom line for taxpayers, even if the government's financial backing may have helped to create the nation's fourth automaker to supplant the Big Three of Ford As Tesla repays $465 million in Department of Energy loans nine years ahead of schedule, the company is poised to extinguish ... (more)

The city of South Miami, Florida, defrauded investors by not disclosing problems with the tax-exempt status of two bond deals, U.S. securities regulators said on Wednesday in their second municipal bond fraud enforcement action this month.

First Liberty Power Corp. , an innovative and diversified mine exploration and development company focused on bringing to market "Mined in America" strategic industrial minerals, is pleased to announce that underground work at their Small Mine Development Corp has been engaged as the contractor for all underground activities, and will supply the ... (more)

Targeting Tea Party groups for scrutiny, even if through incompetence, not intention , turned the IRS into a nasty carbuncle on the governing body.

Corporation , a Renewable Energy Development Company, announced today that the City of St.

Technology is a booming job market in South Florida and local companies have heaped millions of dollars upon local executives.