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Corporate / Securities Law News

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

6 min ago | InvestmentNews

Cybersecurity gets the SEC's attention as agency plans to query advisers on safeguards

At a time when an online threat is panicking Internet users, the Securities and Exchange Commission has provided financial advisers with a detailed checklist of what it expects firms to provide in terms of cybersecurity protection.

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Related Topix: Securities and Exchange Commission, Law

Thu Apr 17, 2014

Law.com

SLUSA in Second Circuit After Troice Decision

On Feb. 26, 2014, the U.S. Supreme Court decided Chadbourne & Park v. Troice , 134 S. Ct. 1058 .

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Related Topix: Second Circuit Court of Appeals, US News, US Supreme Court, Law

Daily Times

SECP registers HAP under halal products, services

KARACHI: Halal Products and Services Association of Pakistan has been incorporated with Securities and Exchange Commission of Pakistan under the Companies Ordinance, 1984 vide- incorporation number 008783.

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

Fox News

SEC Charges Ex-BP Official for Insider Trading

A veteran BP employee who headed the company's cleanup from the 2010 Deepwater Horizon oil spill has been charged with insider trading for allegedly selling shares illegally after learning the extent of the disaster.

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Related Topix: Securities and Exchange Commission, Law, Oil Spill, Business News

USA Today

Ex-BP worker charged with insider trading

A former BP oil worker was hit with insider-trading charges Thursday for using confidential information about the magnitude of the 2010 Deepwater Horizon disaster to sell his family's $1portfolio of company stock.

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Related Topix: Oil Spill, Securities and Exchange Commission, Law

ABC News

Ex BP-Employee Settles US Insider-Trading Charges

The government says a former BP employee who was a coordinator during the 2010 oil spill in the Gulf of Mexico has settled federal charges of using confidential information on the seriousness of the spill to profit illegally from trading in BP stock.

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Related Topix: Oil Spill, Securities and Exchange Commission, Law

Reuters

Ex-BP employee settles SEC insider-trading oil spill case

A former 20-year veteran of BP plc will pay a civil penalty to settle civil charges alleging he used non-public information during the 2010 Deepwater Horizon oil spill to commit insider-trading, U.S. regulators said on Thursday.

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Related Topix: Oil Spill, Securities and Exchange Commission, Law

Hispanic Business

Home Loan Servicing Solutions, LTD. Files (8-K) Disclosing Entry into ...

HOME LOAN SERVICING SOLUTIONS, LTD. FILES Disclosing Entry into a Material Definitive Agreement, Results of Operations and Financial Condition, Change in Directors or Principal Officers, Financial Statements and Exhibits , as guarantor, was amended and restated through the execution of Amendment No.

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Related Topix: Law

KFVS12

Former Yahoo executive received $58 million parting gift

Former Yahoo Chief Operating Officer Henrique De Castro left the company with a severance package worth $58 million, according to a regulatory document filed Wednesday with the Securities and Exchange Commission.

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Related Topix: Securities and Exchange Commission, Law

Trinidad Guardian

Should Phoenix Park IPO be delayed?

On March 29, speaking to reporters during a break in the Eastern Credit Union's 40th annual general meeting at the La Joya Sporting Complex in St Joseph, Finance Minister Larry Howai said three things that are important to the timing of the Phoenix Park initial public offering : Changes would be made to the company's IPO allocation formula because ... (more)

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

Business Wire

Athlon Energy Prices $650 Million of 6.00% Senior Notes

The Company expects to close the sale of the notes on May 1, 2014. Athlon plans to use the net proceeds from this private placement, together with net proceeds from a concurrent registered equity offering and/or borrowings under its credit agreement, to fund the purchase price of pending acquisitions and for general corporate purposes.

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Related Topix: Law

Wed Apr 16, 2014

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

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

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

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

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

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

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

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