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Idec Inc. President and Chief Executive James C. Mullen received total compensation valued at almost $10.5 million in 2007, a year when the biotechnology firm’s stock spiked on word of a possible buyout, only … via Boston.com Read full story

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Topix SEC News The chief financial officer of Costco Wholesale Corp. exercised options for 30,000 shares of common stock, according to a Securities and Exchange Commission filing Thursday. via Canadian Business Magazine Read full story

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Topix SEC News Pioneer Natural Resources Company today announced that Pioneer Southwest Energy Partners L.P. has commenced an initial public offering of 8,250,000 common units representing limited partner interests pursuant … via Earth Times Read full story

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Topix SEC News“The company believes it should provide limited perquisites for executive officers” The chief executive of Hornbeck Offshore Services Inc., a major player in the offshore petroleum support business, received 78 percent more in compensation in 2007 than in the previous year, according to a … via KATC-TV Lafayette Read full story

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Topix SEC News ‘ The failure of Esmark to file financial reports with the Securities and Exchange Commission by April 15 has led the Nasdaq market to issue a warning to the company. via Weirton Daily Times Read full story

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The federal government is seeking to recover “ill-gotten gains” from former USA Capital President Joe Milanowski, and accusing him of mortgage fraud and securities violations that contributed to the company’s … via KTVN Reno Read full story

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“It remains unclear at this time what course of action the lenders may pursue with respect to the event of default” Moody’s Investment Service on Wednesday lowered its bond ratings for Herbst Gaming, less than a month after the casino operator told investors it might have to seek bankruptcy protection. via Las Vegas Review […]

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Whole Foods Market Inc. said late Friday the staff of the Securities and Exchange Commission has concluded its inquiry into online financial message board postings related to Wild Oats Markets. via Quamnet Read full story

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Chairman and Chief Executive William H. Swanson received 2007 compensation of nearly $15 million, up almost 25 percent from the previous year, according to regulatory filing Tuesday by the world’s fifth-largest … via The Boston Globe Read full story

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Topix SEC News The senior vice president and corporate secretary of diversified manufacturer Valmont Industries Inc. via International Business Times Read full story

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The wife of the chairman and chief executive of newspaper publisher Washington Post Co. via Canadian Business Magazine Read full story

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Nordstrom Inc. President Blake W. Nordstrom took a 36 percent cut in total compensation in 2007, a year in which the luxury retailer’s financial results showed that even wealthy shoppers were feeling the … via The Columbian Read full story

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Topix SEC News“We are pleased that the SEC’s investigation of our historical stock option grant and accounting practices has concluded as to the company” ‘ which makes chips for cable modems, mobile phones, network equipment and consumer devices - ‘ had forecast first-quarter revenues between $975 million and $1.005 billion, while analysts estimated $992.6 […]

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Topix SEC News“The story disseminated by Mr. Berliner was a figment of his imagination” The Securities and Exchange Commission on Thursday charged a Wall Street trader with spreading lies about Blackstone Group’s attempted purchase of Alliance Data Systems Corp. via Houston Chronicle Read full story

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Ronald Sugar, the chief executive of defense contractor Northrop Grumman Corp., saw his compensation dip nearly 8 percent in 2007, even as the company’s stock price climbed, according to a filing Monday with … via Press-Enterprise Read full story

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Topix SEC News“The backdating scheme at Broadcom went on for five years, involved dozens of option grants, and resulted in the largest accounting restatement to date arising from stock option backdating” Broadcom Corp. has agreed to pay $12 million to settle a civil investigation by the Securities and Exchange Commission that it backdated employee […]

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“If they’re incompetent, they jerk their licenses” The Securities and Exchange Commission is considering new rules to limit conflicts of interest in the credit rating industry, a key financial player under scrutiny for not sounding the alarm about risky … via Canadian Business Magazine Read full story

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Topix SEC News“We have obligated ourselves for too much” When the Securities and Exchange Commission leveled civil fraud charges against five former San Diego city officials this month, accusing them of lying to lenders about public pension obligations, it … via Ventura County Star Read full story

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Topix SEC News“The Commission does not disclose the existence or nonexistence of an investigation or information generated in any investigation unless made a matter of public record in proceedings brought before the Commission or the courts.” Regulatory officials turned down a congressional request to reveal why they aborted an inquiry into whether Bear Stearns […]

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Topix SEC News“What is probably needed is some kind of centralized regulatory treatment” Critics blasted a Treasury Department call for the $1.8 trillion hedge fund industry to better police itself, saying voluntary guidelines did little to protect investors and regulate the pools of capital. via WTNZ-TV Knoxville Read full story

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Topix SEC News DigitalGlobe, Inc. announced today that the company has filed a registration statement with the Securities and Exchange Commission relating to a proposed initial public offering of its common stock. via Directions Magazine Read full story

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Bear Stearns Cos. , the investment bank being acquired by JPMorgan Chase & Co., eked out a profit in the three months leading up to its demise in March. via Bloomberg Read full story

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Let’s hope the executives and directors at VeriSign are better at filing their taxes than they report on their stock trades. via San Jose Mercury News Read full story

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Saturday April 19, 2008 ISLAMABAD: The Securities and Exchange Commission of Pakistan has acquired a surveillance system from a local IT solution provider to strengthen its stock market monitoring capacity. via PakTribune Read full story

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Topix SEC News“Our Board of Directors is confident that our political contributions align with our long-term interests and thus does not believe a special report detailing those decisions is either necessary or an efficient use of our resources” With the political activities of its chief executive again in the spotlight, a Massey Energy Co. […]

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Topix SEC News Sen. Charles Schumer met the SEC chairman to urge the regulatory agency to step up its scrutiny of conflicts of interest that may have played a role in bond rating companies’ misses on the U.S. housing market, … via Reuters Read full story

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The executive vice president for sales and marketing at chipmaker Intel Corp. exercised options for 48,854 shares of common stock under a prearranged trading plan, according to a Securities and Exchange … via Quamnet Read full story

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Topix SEC News Neonode , the Swedish mobile communication company that develops touch screen technologies and designs mobile handsets, today announced that, as required under applicable NASDAQ rules and as included in Neonode … via Business Wire Read full story

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Topix SEC News The chief executive of credit card company Discover Financial Services LLC bought 15,000 shares of stock, according to a Securities and Exchange Commission filing Thursday. via International Business Times Read full story

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“Morningstar’s research has consistently found that fees are the most important predictor of performance, and the lower the fund’s fees, the more likely it is to outperform over the long term” By PAMELA YIP / The Dallas Morning News pyip@dallasnews.com Many investors skip reading a mutual fund prospectus because it’s filled with boring legalese. […]

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The chief executive of graphic chip maker Nvidia Corp. exercised options for and then sold 186,000 shares of stock under a prearranged trading plan, according to a Securities and Exchange Commission filing … via Forbes Read full story

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International Coal Group’s poor financial performance last year hit Chief Executive Ben Hatfield squarely in the wallet. via Lexington Herald-Leader Read full story

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“The initial claims data and the (Fed) budget data will have an impact … a lot of people are probably expecting further declines as the week goes on — the market’s been weak so far this week” Futures fell on Thursday, pointing to a lower open on Wall Street after Lehman Brothers liquidated three […]

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Topix SEC News The Securities and Exchange Commission has filed a civil lawsuit against London-based hedge fund Headstart Advisers, claiming it earned $198m in profits as a result of improper trading. via Telegraph.co.uk Read full story

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Topix SEC News“Second, sales materials and advertising should not be misleading. Third, products can only be sold to a suitable investor in terms of objectives and risk tolerance. Fourth, disclosures should be complete and cover everything from risk to cost.” FOR the first time since the bursting of the tech bubble and the ensuing […]

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O ver the last few weeks, several readers dropped me lines to say they had been surprised by ugly calls from Fidelity Investments about their mutual fund accounts. via Boston Herald Read full story

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Los Angeles Business from bizjournals - Silicon Valley/San Jose Business Journal The U.S. Securities and Exchange Commission says it stopped the payment of a $29.5 million severance to the former CEO of … via Los Angeles Business Read full story

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Topix SEC News Exxon Mobil Corp., whose $40 billion profit last year again broke the record for a U.S. company, gave chairman and CEO Rex Tillerson an 18% raise to $21.7 million, according to an analysis of a proxy statement … via CNN Money Read full story

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“The company has a good product and it is not affiliated with any of (Milne’s) other enterprises.” A federal grand jury has indicted the former president of Greenwich-based United Rentals Inc. on insider trading and securities fraud charges.Federal prosecutors say 48-year-old John N. Milne, a Canadian citizen living in Westport, used insider information when […]

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A director of oil and gas company Pioneer Natural Resources Co. sold 10,000 shares of common stock under a prearranged trading plan, according to a Securities and Exchange Commission filing. via International Business Times Read full story

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Topix SEC News The CEO of Thermo Fisher Scientific Inc. received total compensation valued at $3.3 million in 2007, down sharply from the nearly $20 million he earned in 2006, a year when he was granted large stock awards, a … via BusinessWeek Read full story

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Topix SEC News Bear Stearns Cos , the troubled investment bank being acquired by JPMorgan Chase & Co , on Thursday said it expects first-quarter results to be “significantly lower” than a year earlier. via BNET Read full story

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The chairman and chief executive officer of The Home Depot Inc. received total compensation valued at $7.6 million in 2007, a 5.6 percent increase over the previous year, according to a regulatory filing … via The Macon Telegraph Read full story

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China Banking Regulatory Commission and the U.S. Securities and Exchange Commission reached an agreement cooperation on Chinese commercial banks valet offshore financial business, said CBRC. via International Business Times Read full story

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Topix SEC News The president and chief executive of Chicago-based utility Integrys Energy Group Inc. via Chicago Tribune Read full story

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Topix SEC News“I don’t think it ends here, because the bad behavior hasn’t ended” SEC complaint says they misled investors about pension system By Matthew T. Hall Five former San Diego city officials were charged with fraud yesterday in a federal complaint that says they misled bond … via San Diego Union-Tribune Read full […]

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Topix SEC News“The state of affairs is such that if these issues are not immediately addressed, the company could suffer irreparable harm” Information technology service provider Pomeroy IT Solutions Inc. said Wednesday that it will consider a $7.05-per-share acquisition bid from Director David B. Pomeroy, its largest shareholder, along with a … via Canadian […]

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Topix SEC News Mayor Jerry Sanders wants the city to stop paying the legal fees of five former employees accused of fraud by the U.S. Securities and Exchange Commission. via KFMB-am Read full story

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“At this time, his contract expires at the end of the year” ‘ Ted Arneault, chairman and chief executive officer of Mountaineer Gaming Group, may leave his post at the end of the year. via The Intelligencer Read full story

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Topix SEC News Allied Nevada Gold Corp. announced today that it has entered into an underwriting agreement in connection with its previously announced cross-border public offering of common shares. via Earth Times Read full story

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Topix SEC News“Some allege this was a coordinated activity on the part of various market participants — who also pushed rumors the banks were in trouble — in an effort to drive share prices down” The chairman of the U.S. House Financial Services Committee on Friday urged the Securities and Exchange Commission to broaden […]

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“They’ve not published their financials for almost a year” A month after Diebold Inc. received an unsolicited bid to take it over, the 149-year-old maker of automated teller machines, security systems and electronic voting devices continues sit tight, maintaining the offer is too low.Meanwhile the pursuer, Hartford, Conn.-based United Technologies Corp., hasn’t budged from […]

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The chairman, president and chief executive of insurer MetLife Inc. exercised options for 3,100 shares of common stock under a prearranged trading plan, according to a Securities and Exchange Commission filing. via International Business Times Read full story

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Database provider InfoUSA Inc. said Friday it received a Nasdaq delisting notice earlier this week because it still hasn’t filed its annual report. via The Oregonian Read full story

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A director at electronic commodity market InterContinentalExchange Inc. exercised options for 2,000 shares of common stock under a prearranged trading plan, according to a Securities and Exchange Commission … via Canadian Business Magazine Read full story

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“Instead of simply recommending merging the SEC and CFTC with the expectation that all will work out, we recommend a number of steps and an evolutionary process to shape the merger process so as to preserve the best aspects of each regulator” ‘ CME Group Inc. shares were down 2.7% Monday afternoon after the […]

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Revenue for the entity that manages the joint operating agreement between The Denver Post and Rocky Mountain News slipped eleven percent in 2007 — but the papers saw a 48% increase in earnings over 2006 due to … via KRDO Read full story

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“The opinion could not be clearer that what the government did, both from the SEC and the U.S. attorney’s side, was appropriate.” The government’s fraud case against three former Flir Systems Inc. executives has been revived by a federal appeals court.A three-judge panel of the 9th U.S. Circuit Court of Appeals tossed out a […]

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Topix SEC News Casino and slot machine operator Herbst Gaming is telling the Securities and Exchange Commission that it might be facing bankruptcy. via WQAD-TV Moline Read full story

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Topix SEC News“I’m cooperating with the SEC. You’ll have to direct your questions to them” An Ogden businessman pleaded guilty Monday in one of the largest fraud cases ever in Utah. via Daily Herald Read full story

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Nortek, Inc., a leading diversified global manufacturer of innovative, branded residential and commercial ventilation, HVAC and home technology convenience and security products, today announced that it has … via Huliq.com Read full story

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Treasury Secretary Henry Paulson ’s plan to overhaul U.S. market regulation would officially endow the Federal Reserve with the broader authority that it has already accrued in the past two weeks. via Bloomberg Read full story

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Topix SEC News The president of chip maker Qualcomm Inc. exercised options for 25,000 shares of common stock under a prearranged trading plan, according to a Securities and Exchange Commission filing Wednesday. via Forbes Read full story

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Pioneer Southwest Energy Partners LP, which was formed to acquire oil and gas properties, has raised the size of its planned initial public offering to 8.3 million common units, according to a Securities and … via Canadian Business Magazine Read full story

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The chief executive and president of image sensor maker OmniVision Technologies Inc. via International Business Times Read full story

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J.C. Penney Chief Executive Myron Ullman III received compensation the company valued at $10.1 million in 2007. via KSLA-TV Shreveport Read full story

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“The proposed consolidation of responsibility for investor protection and the regulation of financial products deserve serious consideration as a way to better address the realities of today’s markets” When Wall Street and big business favor a government plan to make the biggest changes in securities regulation since the Great Depression, the rest of us […]

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“What I don’t hear is a call from the countryside for moving boxes around in Washington, D.C., or the need for some omnipresent super-regulator” As Treasury Secretary Henry Paulson labors to overhaul the U.S. financial regulatory system, he could run into a buzz saw in Chicago. via BusinessWeek Read full story

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