The past year has seen its fair share of market shocks, from the downgrade of the U.S. credit rating to the ongoing sovereign-debt crisis in Europe.Read full story
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Topix SEC NewsThe owner of the largest trove of artifacts salvaged from the Titanic is putting the vast collection up for auction as a single lot in 2012, the 100th anniversary of the world’s most famous shipwreck.More than 5,500 items including fine china, ship fittings and portions of hull that were recovered from the ocean […]
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A Spanish trader won dismissal of a Securities and Exchange Commission lawsuit accusing him of insider trading in Potash Corp.Read full story
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Topix SEC NewsA harbinger of the year to come can be seen in the flood of whistleblower submissions the Securities and Exchange Commission received in the first seven weeks after it adopted the final rules for its new program whistleblower reward program created by the Dodd-Frank Act.Read full story
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Topix SEC NewsThe board of directors has slashed his stock option allowance for 2012 to $1.5 million, according to a filing Thursday with the Securities and Exchange Commission.Read full story
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Topix SEC NewsMoney manager Aletheia Research and Management Inc. continues to see significant drops in its assets under management from client terminations and market losses.Read full story
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Topix SEC NewsPartner Communications Company Ltd. , a leading Israeli communications operator, reports today that its controlling shareholder, Scailex Corporation Ltd., filed on December 25, 2011 an immediate report.Read full story
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Topix SEC NewsExcerpt from remarks by Mary L. Schapiro, chairman, Securities and Exchange Commission, at the Dec.Read full story
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Over the last few years, the capital market of Bangladesh has witnessed haughty growth, which has not been in line with development in the real economic sector.Read full story
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A lawyer suing Massey Energy says investors might have made better-informed decisions if Massey had been required to report safety violations to the Securities and Exchange Commission.Read full story
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Topix SEC NewsProminent hedge-fund manager Philip Falcone has rejected a Securities and Exchange Commission settlement offer that would have banned him from the securities industry and essentially ended his career, people familiar with the matter said.Read full story
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This is the same Steven Rattner who late last year reportedly paid a $6.2 million Securities and Exchange Commission fine and accepted a two-year ban from associating with broker-dealers or investment advisers.A For an alleged “pay-to-play” New York state pension fund kickbacks scheme he orchestrated after leaving Washington and his Czar-ship. His … (more)Read full […]
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From time to time, we will send you e-mail announcements on new features and special offers from The Wall Street Journal Online.Read full story
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Topix SEC NewsTime for an update on the fraud case at Spongetech Delivery Systems, the company that used to be a prominent advertiser at Knicks and Mets games, yet just couldn’t seem to find a market for its SpongeBob SquarePants sponges.Read full story
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Topix SEC NewsThe securities industry is watching intently as the Securities and Exchange Commission and the Securities Investor Protection Corp.Read full story
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Topix SEC NewsA report last week claiming that it would cost investment advisory firms more than twice as much if they were overseen by a self-regulatory organization than if the SEC continued its oversight was quickly attacked by SRO proponents.Read full story
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Topix SEC NewsThe Dhaka Stock Exchange has opened the trading of the day with a positive sign.Read full story
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A federal judge has given former Jefferson County Commissioner Shelia Smoot until Dec.Read full story
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It’s no secret that Philip Falcone’s hedge fund, Harbinger Capital Partners, is being investigated by the Securities and Exchange Commission.Read full story
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It didn’t take long for Daniel Gallagher, the SEC’s newest commissioner, to disagree with the agency’s chairman, Mary Schapiro.Read full story
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Topix SEC NewsEight former Siemens senior executives and agents were charged with plotting to pay $100 million in bribes to secure a $1 billion contract to produce national identity cards for Argentine citizens, in a scam involving a “shocking level of deception and corruption,” an assistant U.S. attorney general said Tuesday.Read full story
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Hewlett-Packard Co., still smarting from criticism over the exit packages it awarded to ousted chief executives Mark Hurd and Leo Apotheker, will limit severance payments it makes to senior executives who are pushed out.Read full story
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Enforcement staff of the Securities and Exchange Commission may request the commissioners leading the agency that they appeal last month’s rejection by a U.S. district judge of a proposed $285 million settlement with Citigroup, the Wall Street Journal said, citing people familiar with the matter.Read full story
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Topix SEC NewsThe House of Chanel, the French fashion company specializing in luxury goods, is sitting on a $750 million asset stemming from an investment in a U.S. chain store that it may have tried to keep quiet.Read full story
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Part two of this two-part series presents guidance on supervising the use of senior designations to imply expertise with senior and retirement investing.Read full story
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Topix SEC NewsMoney managers’ battle for ETF market share will be facing two fronts in 2012: new firms entering the market and a bigger-than-ever push into active strategies.Read full story
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NEW YORK — Harbinger Capital Partners has been put on notice by the Securities and Exchange Commission that it could face a lawsuit for securities-fraud violations, according to published media reports.Read full story
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Topix SEC NewsWith all the jitters in the world’s financial markets,A precious metalsA became a very popular investment or, some would say, refuge.Read full story
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Topix SEC NewsThe RoomStore Inc., the last vestige of former home furnishings giant Heilig-Meyers Co., filed for Chapter 11 bankruptcy protection this morning.Read full story
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Topix SEC NewsLack of coordination among different regulatory authorities, mal-governance and failure to identify the problem areas are making the recent policy initiatives ineffective to rejuvenate the capital market, economists at a dialogue on Monday observed.Read full story
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A few small cracks are opening in the edifice of secrecy shrouding the dealings of the nation’s largest banks.Read full story
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Topix SEC NewsInsider trading involving the stock market can get you stiff prison sentences. Ask billionaire hedge fund trader Raj Rajaratnam , who began a term of 11 years in a federal penitentiary last week.Read full story
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Is anyone going to be held legally accountable for the financial crisis? When the Securities and Exchange Commission announced recently that it was settling fraud charges against Citigroup for a paltry $285 million, the only person actually named in the SEC’s charges was Brian Stoker.Read full story
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According to former Justice Department higher-up, convincing juries to put execs behind bars in complex cases is near impossible By Marian Wang, ProPublica It’s an issue we and others have noted again and again : Years after the financial crisis, there have still been no prosecutions of top executives at the major players in the […]
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Topix SEC NewsAbbe Tiger, a former Securities and Exchange Commission enforcer who now leads New Jersey’s Bureau of Securities, is leading the effort to get the state ready to oversee an additonal 200 “midsized” investment advisers next year.Read full story
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It’s an issue we and others have noted again and again : Years after the financial crisis, there have still been no prosecutions of top executives at the major players in the financial crisis .Read full story
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A senator is calling on federal securities regulators to take legal action against a brokerage industry-backed fund for failing to cover claims for the victims of Allen Stanford’s alleged Ponzi scheme.Read full story
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Topix SEC NewsThree recent developments suggest that the worm is turning and that the criminal behavior of the nation’s huge money-center banks might finally suffer something approaching real justice.Read full story
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Topix SEC NewsThe program will be available for advisers now registered with the SEC who must register with four to 14 states, the North American Securities Administrators Association Inc.Read full story
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For the second time in two years, cloud, virtualization and data center solution provider GlassHouse Technologies has withdrawn its plans for an initial public offering, citing current market conditions and economic uncertainty.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from November 2011.Read full story
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Citigroup was among the companies Wall Street predicts will rise in profitability.Read full story
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Topix SEC NewsLike other federal jurists, U.S. District Court Judge Jed S. Rakoff’s schedule includes dozens of cases.Read full story
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Topix SEC NewsThe bankers slept well. Their homes in Beverly Hills were not spotlighted by a noisy swarm of police helicopters, searchlights burning through the sanctity of the night, harassing the forlorn City Hall encampment of those who dared protest the banks’ seizure of our government.Read full story
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Will Jon Corzine, former U.S. senator, former New Jersey governor, former chairman of Goldman Sachs, end his high-profile career in the slam? In a just world, perhaps he should.Read full story
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The Company encourages anyone interested in the Company to rely upon information put out by the Company through press releases and information the Company files with the Securities and Exchange Commission.Read full story
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November 29, 2011 A federal judge has nixed a $285 million settlement between Citigroup and the Securities and Exchange Commission.Read full story
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Topix SEC NewsIn anticipation of the institution by the Securities and Exchange Commission of public administrative and cease-and-desist proceedings against OMNI Investment Advisors, Inc.Read full story
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The biggest hazard for President Barack Obama’s hallmark Wall Street reforms may not lurk in the halls of Congress or on the campaign trail, but rather in the courts.Read full story
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Topix SEC NewsWhoa, this is truly bizarre. I’m sitting at my computer writing a complimentary story about a speech delivered by a current Securities and Exchange Commission commissioner’s speech.Read full story
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Topix SEC NewsRep. Barney Frank announced this week that he is retiring from Congress at the end of 2012 rather than running for re-election - in part because he wants to concentrate on defending the massive financial reform law that bears his name.Read full story
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