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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 | Business Journal

Anchor Hocking parent reaches deal with lenders to take $20M investment

EveryWare Global Inc. has amended its forbearance agreement with lenders that will allow the company to receive a $20 million investment to keep it afloat.

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Related Topix: Corporate / Securities Law, Law

2 hrs ago | Business Journal

Vista Equity affiliate raises $88M tied to AGDATA acquisition

An affiliate of Vista Equity Partners received an $88 million financing that was completed in connection with the acquisition of a North Carolina-based data analytics company.

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

2 hrs ago | Freshnews

OSL Holdings Hires Former SEC Employee as Vice President, Corporate...

YARDLEY, Pa., July 31, 2014 /PRNewswire/ -- OSL Holdings , a socially conscious business model dedicated to consumer advocacy, social activism and the advancement of civil liberties through the power of commerce, announced today that effective July 7, 2014 Thomas D'Orazio joined the company to help streamline and optimize finance, accounting and ... (more)

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

6 hrs ago | AmericanBankingNews.com

Insider Buying: Townsquare Media major shareholder Buys 50,737 Shares of Stock

Townsquare Media major shareholder Steven Price acquired 50,737 shares of Townsquare Media stock in a transaction that occurred on Friday, July 25th.

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Related Topix: Corporate / Securities Law, Law

Wed Jul 30, 2014

Business Journal

Citizens CEO could net more than $12M from company sale

Bruce Van Saun, chairman and CEO, Citizens Financial Group, could be in for quite a windfall if the company is sold.

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Related Topix: Corporate / Securities Law, Law

The Hartford Courant

Sources: Troubled Insurer The Phoenix Cos. Explores Sale

The financially troubled Phoenix Cos. has hired investment banks Goldman Sachs Group Inc. and Sandler O'Neill and Partners to explore a sale, according to people familiar with the matter.

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Related Topix: Goldman Sachs, Financial Services, Investment Services, Corporate / Securities Law, Law, US Securities and Exchange Commission, Hartford, CT

JD Supra

SEC Settles Third-Party Insider Trading Claim Against Investor Relations Executive

The Securities and Exchange Commission recently announced a settlement with a partner at an investor relations firm who allegedly traded on inside information obtained through his representation of two companies.

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Related Topix: Corporate / Securities Law, Law, MISONIX, Scientific Instruments, Medicine, Medical Equipment, Healthcare Industry

Reuters

Sec charges Qsgi Ceo, former Cfo over internal control failures

U.S. regulators charged the chief executive and former chief financial officer of Florida-based computer equipment company QSGI Inc on Wednesday with misleading outside auditors and investors about internal control deficiencies over the company's finances.

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Related Topix: Corporate / Securities Law, Law, Corporate Governance

Business Journal

SEC investigating DreamWorks Animation's 'Turbo' write-down

"How to Train Your Dragon 2" may have grossed $424.6 million at the worldwide box office so far, but the high-flying 'toon has yet to pull DreamWorks Animation out of its funk.

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Related Topix: Corporate / Securities Law, Law

Business Journal

Avalanche Bio boosts IPO targets to $106M, second time in 2 weeks

Blindness drug developer Avalanche Biotechnologies boosted its IPO target for the second time in two weeks, now saying it could raise up to about $106 million.

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Related Topix: Corporate / Securities Law, Law

Insider Monkey

Balyasny Asset Management Ups Stake In NuStar Energy L.P.

Dmitry Balyasny is bullish on NuStar Energy L.P. and has increased his holding of the stock.

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Related Topix: Corporate / Securities Law, Law, Financial Services, Renaissance Technologies, Investment Services

Business Journal

Family Dollar CEO Howard Levine here to stay - for now

Howard Levine will remain chief executive at Family Dollar Stores Inc. following an $8.5 billion acquisition by Dollar Tree Inc. .

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Related Topix: Dollar Tree Stores, Retail, Family Dollars Stores, Tree.com, US Securities and Exchange Commission, Financial Services, Corporate / Securities Law, Law

Tue Jul 29, 2014

Reuters

Exclusive: Upstart trading venue IEX may prompt U.S. market rule change

U.S regulators may relax rules that require the fastest possible execution of securities trades, potentially helping upstart trading venue IEX Group's plans to become a full-fledged stock exchange.

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Related Topix: Books, Flash Boys, Corporate / Securities Law, Law

Lipper HedgeWorld News

U.S. judge says SEC can't seek $1.4 billion from Texas' Wylys

A U.S. judge on Tuesday [July 29] ruled that a securities regulator cannot seek as much as $1.4 billion in damages from Texas tycoon Sam Wyly and his late brother Charles ' estate for their role in a fraudulent offshore scheme.

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

JD Supra

SEC Requires Floating NAV for Institutional Money Market Funds; IRS...

A divided Securities and Exchange Commission recently adopted rules that will require floating net asset values for institutional money market funds and give most money market funds the discretion to impose liquidity fees and gates.

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Related Topix: Tax, Corporate / Securities Law, Law

Business Journal

EZCorp posts Q3 profit, projects higher Q4 earnings in light of big changes

EZCorp Inc. reported Tuesday a third-quarter profit of $12.3 million, or 21 cents per share, on revenue of $241.3 million compared with a loss of $4.4 million, or 11 cents per share, on revenue of $235.1 million during the same period last year.

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Related Topix: Retail, EZCORP, Financial Services, Corporate / Securities Law, Law

Fox News

"Serial Con Man" Busted in Solar Energy Farm Scam

The Securities and Exchange Commission charged a jailed con man for the second time this month with luring investors into a phony venture using made-up press releases -- this time for a non-existent solar energy company.

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Related Topix: Corporate / Securities Law, Law, Solar Energy, Alternative Energy, Renewable Energy (Green Energy), Energy, Federal Prisons, Prison, Business News

Reuters

U.S. SEC lawyer Gellasch to leave for Senate investigative panel

An attorney at the U.S. Securities and Exchange Commission who once helped craft legislative language for the "Volcker rule" and other major pieces of the 2010 Dodd-Frank financial reform law is returning to Capitol Hill.

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Related Topix: Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, US Politics, US News, US Senate, Carl Levin, Democrat

Digital Post Production

Amedisys Announces New $70 Million Second Lien Credit Facility and...

Amedisys, Inc. , one of America's leading home health and hospice care companies, today announced that it entered into a new $70 million six-year second lien term loan facility.

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Related Topix: Healthcare Industry, Amedisys, Medicine, Palliative Care, Corporate / Securities Law

GlobeNewswire

FHLB Des Moines Reports Second Quarter 2014 Preliminary Unaudited Financial Results

The Federal Home Loan Bank of Des Moines today released preliminary unaudited financial highlights for the quarter ended June 30, 2014.

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Related Topix: Corporate / Securities Law, Law, Home, Mortgage, Personal Finance

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