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Corporate / Securities Law

Corporate / Securities Law News Editors

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Corporate / Securities Law News

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

3 hrs ago | RiskCenter.com

November 16: Operational Risk - SEC Charges Madoff Computer Programmers

The Securities and Exchange Commission last week charged two computer programmers for their role in helping convicted Ponzi schemer Bernard L. Madoff cover up the fraud at Bernard L. Madoff Investment Securities LLC for more than 15 years.

Comment?

Related Topix: Securities and Exchange Commission, Law

11 hrs ago | Las Vegas Sun

SEC says SD County man targeted Somalis with fraud

The Securities and Exchange Commission has charged a San Diego County man with securities fraud, saying he targeted Somali immigrants in San Diego and Seattle.

Comment?

Related Topix: Securities and Exchange Commission, Law, San Diego County, CA

Fri Nov 20, 2009

The Item

Read the story

The possessions of a former North Carolina financier have drawn big bids at an auction.

Comment?

Related Topix: Securities and Exchange Commission, Law

MySanAntonio.com

Whistleblower: SEC still missing criminal activity

The U.S. Securities and Exchange Commission may be investigating investment managers more these days, but regulators still don't understand the business enough to stop future scandals, a New York whistle-blower for a 2003 mutual fund skimming scandal said Wednesday in San Antonio.

Comment?

Related Topix: Securities and Exchange Commission, Law, Criminal Defense Law, Financial Services

Seattle Post-Intelligencer

Archipelago shares leap in 1st day of trading

Shares of Archipelago Learning are rising Friday after its initial public offering priced near the top of its expected range, raising $103.1 million.

Comment?

Related Topix: Securities and Exchange Commission, Law

The Arizona Daily Star

7 charged in $140M real estate scheme

Seven people accused of being involved in a massive real estate fraud scheme that bilked victims a ' including some in Tucson a ' out of $140 million were charged Thursday with numerous felonies in Riverside County, Calif.

Comment?

Related Topix: Riverside County, CA, California, Murrieta, CA, Yucaipa, CA, Securities and Exchange Commission, Law

Thu Nov 19, 2009

ABC News

SEC Told to Improve Ways It Chooses Probe Targets

The Securities and Exchange Commission must tighten its process for deciding which investment advisers to inspect if it is to avoid colossal breakdowns like the one that allowed Bernard Madoff's multibillion-dollar fraud to go undetected for 16 years, the agency's inspector general says.

Comment?

Related Topix: Securities and Exchange Commission, Law, Bernie Madoff

WNOL-TV New Orleans

Cigarette maker Lorillard begins search for successor to CEO Martin Orlowsky

Cigarette maker Lorillard Inc. has begun seeking a successor to Chief Executive Martin L. Orlowsky, whose contract expires next year, the company said in a regulatory filing Thursday.

Comment?

Related Topix: Securities and Exchange Commission, Law

WPBF.com

Man Accused Of Haitian Scheme Agrees To Pay Penalties

A man accused of bilking thousands of Haitian-Americans of millions in an investment scam where he promised to create a "nation of Haitian millionaires" must pay civil penalties for the alleged Ponzi scheme.

Comment?

Related Topix: Financial Services, Securities and Exchange Commission, Law

On Wall Street

FINRA Will Permanently Disclose Former Brokers Disciplinary Actions

The Financial Industry Regulatory Authority is expanding its BrokerCheck service to permanently include information on final regulatory actions brought against brokers who have left the industry.

Comment?

Related Topix: Securities and Exchange Commission, Law

Wed Nov 18, 2009

Tacoma News Tribune

Venture won't file third-quarter report

Officials with Venture Financial Group, the former bank-holding company for Venture Bank, said Tuesday in a federal filing that they won't file financial data for the third quarter of the year.

Comment?

Related Topix: Law, Securities and Exchange Commission

KOB-TV

SEC subpoenaed former NM state investment officer

The Securities and Exchange Commission subpoenaed former state Investment Officer Gary Bland to testify earlier this year as part of an investigation into public investment funds.

Comment?

Related Topix: Securities and Exchange Commission, Law

FOX6Now.com - WITI

Former NC banker's jewels, art work and cars to be...

Jewels, art, cars and more than 150 bottles of fine wine will be auctioned off in North Carolina's capital city to help recoup nearly $70 million in losses for investors duped in an alleged Ponzi scheme.

Comment?

Related Topix: North Carolina, Securities and Exchange Commission, Law

SiliconValley.com

Ex-sales VP at Santa Clara chip company Tvia charged with fraud

A former sales executive of Tvia was charged Tuesday by the Securities and Exchange Commission with hiding side agreements that inflated the earnings of the Santa Clara semiconductor company for nearly two years.

Comment?

Related Topix: Startups, Tvia, Securities and Exchange Commission, Law

Easton Express-Times

FINRA: Brokers' disciplinary records stay online

Brokers' disciplinary records will be available online to the public even if they leave the securities industry, a regulatory organization said Tuesday.

Comment?

Related Topix: Securities and Exchange Commission, Law

Tue Nov 17, 2009

Ocala Business Journal

Administration widening pursuit of financial fraud

Attorney General Eric Holder says the new group will have a broader scope - and incorporate state investigators as well as federal agencies - to investigate and prosecute financial crimes that worsened the market collapse.

Comment?

Related Topix: Securities and Exchange Commission, Law

Fort Mill Times

Fla. investment panel raps its executive director

Gov. Charlie Crist and two Cabinet members who sit on a panel that invests state money chastised their top staffer for failing to keep them updated on a Securities and Exchange Commission investigation.

Comment?

Related Topix: Securities and Exchange Commission, Law

The Office of the Comptroller of the ...

News Release 2009-142

Eight federal regulatory agencies today released a final model privacy notice form that will make it easier for consumers to understand how financial institutions collect and share information about consumers.

Comment?

Related Topix: Law

The Herald Democrat

House Ag committee blasts Obama financial proposal

Faced with the prospect of losing key oversight powers, members of the House Agriculture Committee and regulators Tuesday blasted an Obama administration proposal to overhaul financial rules.

Comment?

Related Topix: US Politics, US News, Frank Lucas, Republican, US House of Representatives, Law

Business Wire

Boots & Coots Files Universal Shelf

Boots & Coots, Inc. , today announced that the Company has filed a universal shelf registration statement on Form S-3 with the Securities and Exchange Commission .

Comment?

Related Topix: Securities and Exchange Commission, Law

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