Corporate / Securities Law News
News on Corporate / Securities Law continually updated from thousands of sources around the net.
2 hrs ago | Hispanic Business
Fifth Third Bank's holding company is in hot water -- and now owes more than $6 million to the Securities and Exchange Commission .
Is increasing income inequality a bad thing for America?
Should the government provide access to health care for everyone?
6 hrs ago | Wall Street Journal
In a regulatory filing late Wednesday, CSC said it received from the SEC's Division of Enforcement a so-called Wells notice-the agency's warning to companies that they could face civil charges.
Last week, AT&T sent a letter to the Securities and Exchange Commission saying that it will not disclose information about how it shares private data with the NSA .
Bernie Madoff is not some freak of finance to be celebrated on the five-year anniversary of his guilty plea.
Merrill Lynch has agreed to pay $131.8 million to settle U.S. civil charges that it misled investors about risky mortgage bonds it sold ahead of the 2008 financial crisis.
British hedge fund adviser GLG Partners LP and a former holding company agreed to pay about $9 million to settle U.S. regulatory charges that internal control failures had caused them to inflate a fund's assets and collect excessive fees.
Merrill Lynch was charged on Thursday for its misdeeds related to those now famous collateralized debt obligations that got other Wall Street firms, notably Goldman Sachs, in trouble.
IntelGenx Technologies Corp. , a drug delivery company focused on the development of novel oral rapidly disintegrating delivery systems including its proprietary VersaFilm technology, as well as oral controlled-release products, announced today that it has entered into definitive agreements with institutional investors to purchase approximately ... (more)
Synthetic Biologics, Inc. , a developer of product candidates focused on the prevention and treatment of serious infectious and other diseases, announced today the pricing of an underwritten public offering of 11,500,000 shares of common stock at a public offering price of $1.00 per share.
Mandatory safeguards to prevent automated traders from illegally acting as buyer and seller in the same transactions would be harmful to the trading industry by exposing firms to unnecessary risk, a futures-industry group said on Wednesday Such transactions, known as wash trades, are barred under U.S. regulatory and exchange rules because they can ... (more)
Stephen D. Anthony, Special Agent in Charge of the Cleveland Division of the Federal Bureau of Investigation, in conjunction with Steven M. Dettelbach, United States Attorney for the Northern District of Ohio, announce the arrest of international fugitive Eric V. Bartoli, Peruvian-American.
Snapchat , the app that lets users share photos and videos that then disappear, has raised an additional $50 million in funding, according to a Securities and Exchange Commission document filed Wednesday.
NTS Realty Holdings Limited Partnership announced today that it has reached an agreement in principle with the plaintiffs to settle the putative class action lawsuit entitled Dannis, Stephen, et al. v.
Government agencies here in Washington just approved a costly regulation called the Volcker Rule to curb proprietary trading by banks - even though such trading did not cause the financial crisis , nor did it lead to massive financial losses by banks and taxpayers the way other, much riskier practices by banks did .
The world hasn't heard much from Occupy Wall Street lately. But one branch of it, Occupy the SEC , has remained very busy -- filing amicus briefs, testifying before Congress, suing regulators and writing comment letters, including a 325-page opus on the Volcker Rule.
December 11, 2013 - Digital Caddies Inc. is pleased to announce that it has completed the initial round on a $5M capital raise being completed by Paulson Investments -- a boutique investment bank specializing in the small and mid-cap markets.
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