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Securities and Exchange Commission News

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

20 min ago | GhanaWeb

Gov't asked to look within for capital

The Chairman of the Securities and Exchange Commission , Professor E.V.O. Dankwah, has encouraged the government to look within to raise capital for development.

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Related Topix: Corporate / Securities Law, Law

1 hr ago | Insider Monkey

Adage Capital Reveals New Investment In Post-IPO TerraForm Power Inc

Phill Gross and Robert Atchinson , the managers of Adage Capital Management , see value in TerraForm Power Inc , an energy company that recently went public.

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Related Topix: Corporate / Securities Law, Law

1 hr ago | Globe and Mail

U.S. investigates UBS, Deutsche Bank speed trading

UBS has saved $3.4-billion in trust-busting fines after blowing the whistle on other offenders to the European Commission.

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Related Topix: Corporate / Securities Law, Law

2 hrs ago | Business Journal

In the money July 28: Austin startup funding wrap-up

At least four Austin-area companies reported receiving investment funding last week to take their business to the next level, according to the companies and filings with the U.S. Securities and Exchange Commission U.S. Securities and Exchange Commission.

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

Mon Jul 28, 2014

The Columbus Dispatch

Virgin America airline files with SEC to issue IPO

The E-Edition includes all of the news, comics, classifieds and advertisements of the newspaper.

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Related Topix: Corporate / Securities Law, Virgin America, Law

Wall Street Journal

Meet Some of the SEC's Whistleblowers

What do four adult entertainers, 138 engineers, a handful of pilots and a pastor have in common? They all think they have hot tips about an alleged financial fraud.

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Related Topix: Corporate / Securities Law, Law

The New Zealand Herald

Graeme Hart reviews ownership of Evergreen, Closures, SIG

New Zealand billionaire Graeme Hart's Reynolds Group is considering the sale of three units that make up more than a third of the global packaging empire's earnings.

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

New York Post

Cynk, penny-stock a star,a continues tumble

Sykes understands America's fascination with Cynk - the Belize-based company with a stock that went from 6 cents a share to $21.45, got halted by the Securities and Exchange Commission as it slid to $13.60, then crashed to $2.10 on Friday, its first trading session after a 10-day suspension.

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Related Topix: Corporate / Securities Law, Law

Reuters

Ex-Harbinger COO settles SEC claims he aided fraud

The former chief operating officer of Philip Falcone's hedge fund Harbinger Capital Partners has agreed to pay $200,000 to resolve charges he aided a scheme to misappropriate fund assets, the U.S. Securities and Exchange Commission said Monday.

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

Wall Street Journal

Harbinger's Ex COO Settling SEC Charges

The Securities and Exchange Commission said Monday that the former chief operating officer of Harbinger Capital Partners LLC agreed to settle charges for assisting in the misappropriation of millions of dollars from a hedge fund, and will be prohibited from working in the securities industry for at least two years.

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Related Topix: Corporate / Securities Law, Law

MarketWatch

Smith & Wesson to pay $2 million over SEC bribery charges

Smith & Wesson Holding Corp. on Monday agreed on pay $2 million to settle disciplinary proceedings that it international sales team bribed military and police officials in Pakistan, Indonesia and other countries, in order to attract new businesses from 2007 until 2010, the Securities and Exchange Commission announced.

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Related Topix: Corporate / Securities Law, Smith and Wesson, Sporting Goods, Law

Business News

Citigroup unit charged with failing to protect confidential data

The Securities and Exchange Commission has charged a Citigroup business unit operating an alternative trading system with failing to protect the confidential trading data of its subscribers.

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

Business Journal

BioDerm launches $4.8M capital raise

The Largo-based medical products company will use some of the funding to pay salaries and wages to executive officers, a filing with the U.S. Securities and Exchange Commission said.

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

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.

1 comment

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

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