Securities and Exchange Commission News
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1 hr ago | Wall Street Journal
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.
4 hrs ago | The New Zealand Herald
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.
7 hrs ago | New York Post
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.
11 hrs ago | Reuters
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.
11 hrs ago | Wall Street Journal
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.
12 hrs ago | MarketWatch
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.
15 hrs ago | Business News
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.
16 hrs ago | Business Journal
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.
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 .
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.
I recently published a quick guide to a green or fossil fuel free stock portfolio aimed at the small investor.
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.
On Thursday the Securities and Exchange Commission released rules that will change how money market mutual funds work.
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)
On Wednesday, the Securities and Exchange Commission announced changes to money market fund regulation.
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.
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.
Updated: Mon Jul 28, 2014 08:36 pm
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