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Corporate / Securities Law News

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

14 min ago | Cape Cod Times

Eastern bank ex-exec charged in insider trading

Federal securities regulators have charged a former Eastern Bank executive with insider trading for allegedly telling a golfing partner about an impending acquisition.

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Related Topix: Securities and Exchange Commission, Law, Financial Services, Wainwright Bank and Trust, Banking

Thu Aug 21, 2014

Forbes.com

JOBS Act and Crowdfunding: Will They Finally #ReleaseTheRules?

I am the founder and CEO of Traklight, the only self-guided software platform that creates your custom intellectual property strategy.

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Related Topix: Small Business, Personal Finance, Securities and Exchange Commission, Law

Reuters

Republican lawmaker slams SEC over unauthorized leaks to media

A Republican lawmaker slammed the Securities and Exchange Commission over leaks of confidential information to media outlets, including Reuters, calling the disclosures "unacceptable."

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Related Topix: Securities and Exchange Commission, Law, US Politics, US News, Republican, US House of Representatives, Jeb Hensarling

Colorado Springs Independent

Former Springs newspaper saleswoman sued by SEC

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.

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Related Topix: Securities and Exchange Commission, Law

Wall Street and Tech

SEF Consolidation Likely as Volumes Slowly Increase

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.

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Related Topix: Law

Examiner.com

Bank of America Admits Disclosure Failures to Settle SEC Charges

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.

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

AmericanBankingNews.com

Trio Merger Corp. major shareholder John P. Pecora Acquires 16,934 Shares

Trio Merger Corp. major shareholder John P. Pecora purchased 16,934 shares of Trio Merger Corp. stock in a transaction dated Monday, August 18th.

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Related Topix: Securities and Exchange Commission, Law

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

Wed Aug 20, 2014

AmericanBankingNews.com

ExOne major shareholder Century Ventures Ltd Novel Sells 149,410 Shares

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.

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Related Topix: Securities and Exchange Commission, Law

MacReport Media RSS Feed

Digital Caddies Files Registration Statement with the Securities Exchange Commission

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)

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Related Topix: Law, Securities and Exchange Commission

KRNV-TV Reno

Kentucky business unspooled as feds closed in

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.

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Related Topix: US Politics, US News, US Senate, Republican, Mitch McConnell, Covington, KY, Securities and Exchange Commission, Law

TheStreet.com

Carl Icahn Takes Stake in Hertz Amid Accounting Woes

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.

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Related Topix: Securities and Exchange Commission, Law

Housing Wire

KBRA: More smoke than fire in Ocwen's restated earnings

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.

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Related Topix: Financial Services, Ocwen Financial, Securities and Exchange Commission, Law, Accounting, Deloitte and Touche, Home, Mortgage, Personal Finance

ABC15.com

SeaWorld drops appeal of OSHA violation

SeaWorld Entertainment has dropped an appeal of citations it received after the drowning of a trainer who was pulled under by a killer whale.

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Related Topix: Securities and Exchange Commission, Law

AmericanBankingNews.com

Kenneth R. Lehman Purchases 15,125,000 Shares of Four Oaks Fincorp Stock

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.

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Related Topix: Securities and Exchange Commission, Law

Customer Interaction Solutions

Corporate Resource Services Announces First Quarter Fiscal 2014...

Corporate Resource Services, Inc. , , a diversified technology, staffing, recruiting, and consulting services firm, today reported its financial results for its first fiscal quarter ended on April 4, 2014 and will conduct its quarterly conference call at 5:00 PM Eastern Time today, as previously announced.

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Related Topix: Law

Tue Aug 19, 2014

Hispanic Business

Self-Regulatory Organizations; Miami International Securities...

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.

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Related Topix: Law

Wall Street Journal

Groundfloor Raises $1M, Moves to Georgia to Crowdfund Real Estate

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.

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Related Topix: Securities and Exchange Commission, Law

AmericanBankingNews.com

Insider Selling: Village Super Market major shareholder Sells 6,889 Shares of Stock

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.

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Related Topix: Securities and Exchange Commission, Law

JD Supra

SEC's Office of Investor Education and Advocacy Releases Alert...

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.

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Related Topix: Securities and Exchange Commission, Law

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