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Securities and Exchange Commission News

News on Securities and Exchange Commission continually updated from thousands of sources around the net.

2 hrs ago | Trinidad Guardian

Facebook says SEC's IPO probe ends

Facebook Inc said the US Securities and Exchange Commission dropped its probe into the social networking company over events surrounding its controversial initial public offering.

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Related Topix: Startups, Facebook, Social Software, Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services

Sun Jul 27, 2014

AmericanBankingNews.com

Douglas Emmett Given Average Rating of "Hold" by Analysts

Shares of Douglas Emmett have been given an average rating of "Hold" by the nine analysts that are presently covering the stock, Analyst RN reports .

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Related Topix: Corporate / Securities Law, Law

AmericanBankingNews.com

Legend Oil and Gas major shareholder James Vandeberg Unloads 187,444 Shares

Legend Oil and Gas major shareholder James Vandeberg unloaded 187,444 shares of Legend Oil and Gas stock on the open market in a transaction dated Wednesday, July 23rd.

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Related Topix: Corporate / Securities Law, Law

Alternative Energy Stocks

The Quick Guide To A Green Stock Portfolio

I recently published a quick guide to a green or fossil fuel free stock portfolio aimed at the small investor.

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Related Topix: Mutual Funds, Personal Finance, Financial Markets, Corporate / Securities Law, Law

Overlawyered

Corinthian Colleges meets its downfall

Through the actions of multiple federal agencies - the Department of Education, Securities and Exchange Commission, and Consumer Financial Protection Bureau - the Obama Administration has succeeded in wiping out a major for-profit education provider with thousands of employees and 72,000 students, all without bringing a legal charge.

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Related Topix: Corinthian Colleges, Corporate / Securities Law, Law, Conservative Political News, US News

The Advocate

Our Views: Credible safety net

With great reluctance, its chief says, the agency charged with protecting the financial interests of bilked investors has seized on a legal argument that avoids paying the bilked investors of Allen Stanford - costing many Louisiana families millions of dollars in potential relief.

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Related Topix: Bernie Madoff, Many, LA, Corporate / Securities Law, Law, Opinion

Sat Jul 26, 2014

Albany Times Union

On Thursday the Securities and Exchange Commission released rules that will change how money market mutual funds work.

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Related Topix: Corporate / Securities Law, Law, Mutual Funds, Personal Finance

Customer Interaction Solutions

Final Judgment Entered in SEC's Accounting Fraud Case Against John ('Jack') J. Egan, Jr.

WASHINGTON, July 25 -- The Securities and Exchange Commission issued the following litigation release: The Securities and Exchange Commission announced that on July 18, 2014, the Honorable William H. Pauley III, United States District Judge for the Southern District of New York, entered a final judgment in the Commission's civil action against John ... (more)

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Related Topix: Corporate / Securities Law, Law, Publishing, Media, Television, Ottaway Newspapers, Fox Filmed Entertainment, Digital Journal, FOX News Network

Forbes.com

Will New Money Market Rules Break Money Markets?

On Wednesday, the Securities and Exchange Commission announced changes to money market fund regulation.

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Related Topix: Corporate / Securities Law, Law, Mutual Funds, Personal Finance

Reuters

SEC seeks $1.4 billion from Texas Wyly brothers after fraud verdict

Texas tycoon Sam Wyly and the estate of his late brother Charles should pay damages totaling $1.41 billion for their role in a scheme that hid trades in companies they controlled using offshore trusts, the U.S. Securities and Exchange Commission said.

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Related Topix: Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, Michaels Stores, Retail

Reuters

U.S. SEC appeals crisis-era case against ex-bank executives

U.S. government lawyers asked federal regulators on Friday to overturn a judge's ruling dismissing their case against two former State Street Corp executives accused of misleading investors in a fund exposed to subprime mortgages.

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Related Topix: Corporate / Securities Law, Law, State Street, Financial Services, Investment Services, Home, Mortgage, Personal Finance

Christian Science Monitor

Mutual funds face new SEC regulations, falling assets

The Securities and Exchange Commission headquarters in Washington. Regulators voted Wednesday July 23, 2014 to end a longtime staple of the investment industry _ the fixed $1 share price for money-market mutual funds _ at least for some money funds used by big investors.

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Related Topix: Mutual Funds, Personal Finance, Corporate / Securities Law, Law

Holtville Tribune

Four Charged in NFL-Related Securities Fraud Scheme Targeting Senior Citizens

Wifredo A. Ferrer, United States Attorney for the Southern District of Florida, and George L. Piro, Special Agent in Charge, Federal Bureau of Investigation , Miami Field Office, announced that Peter D. Kirschner, 49, of Delray Beach, Stuart R. Rubens, 61, of North Miami, Dean R. Baker, 34, of Coral Springs, and Bret A. Grove, 35, of Delray Beach, ... (more)

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Related Topix: Family, Elderly (Senior Citizen), Florida, US News, US Federal Bureau of Investigation, Corporate / Securities Law, Law

Fri Jul 25, 2014

Fox News

Citi Unit Pays Record Fine to Settle SEC Charges

A business unit of Citigroup will pay $5 million to settle civil charges that one of its private trading venues violated federal law by failing to protect its clients' confidential trading data, U.S. regulators said Friday.

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Related Topix: Corporate / Securities Law, Law, Business News

ComputerWorld

SEC drops probe into Facebook's pre-IPO sales disclosures

The U.S. Securities and Exchange Commission has dropped its investigation into disclosures about Facebook advertising sales before the company went public in 2012.

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Related Topix: Social Software, Startups, Facebook, Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services

Reuters

Facebook says SEC's IPO probe ends, extending WhatsApp closing date

Facebook Inc said the U.S. Securities and Exchange Commission dropped its probe into the social networking company over events surrounding its controversial initial public offering.

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Related Topix: Startups, Facebook, Social Software, Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services

Reuters

UPDATE 2-Citigroup unit to pay $5 million to settle U.S. SEC charges

A private trading venue owned by Citigroup will pay a $5 million penalty to settle charges that it failed to protect customers' data, marking the latest case in a crackdown by U.S. regulators over alleged market rule violations.

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Related Topix: Corporate / Securities Law, Law, Banking, Financial Services, CitiMortgage, Citigroup

Reuters

Citigroup unit pays record penalty to settle SEC charges

A business unit of Citigroup will pay $5 million to settle civil charges that one of its private trading venues violated federal law by failing to protect its clients' confidential trading data, U.S. regulators said Friday.

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Related Topix: Corporate / Securities Law, Law

WTHR-TV Indianapolis

Morgan Stanley paying $275M to settle SEC charges

Virginia State Police say two were killed and at least 20 injured when a fierce storm slammed a campground on the state's Eastern Shore.

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Related Topix: Stanley, Corporate / Securities Law, Law, Weather, Toddlers, Family

Law.com

A Close Look at JPMorgan Chase GC's Stock Moves

After battling a raft of corporate legal problems, JPMorgan Chase & Co. general counsel Stephen Cutler has been selling off stock in his company while piling up stock options and other incentives.

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Related Topix: Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services

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