Topix SEC NewsConsider the curious case of Jay Lapine. Between 2003 and 2009, the onetime general counsel of McKesson HBOC Inc.Read full story
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Topix SEC NewsA federal judge in Burlington dismissed a class action lawsuit filed against Green Mountain Coffee Roasters, Inc.Read full story
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Topix SEC NewsWayne -based retailer Toys “R” Us has made a number of management changes following a lackluster holiday season.Read full story
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Dale Shafer of Mason, who was later a senior vice president of WesBanco Inc. in Cincinnati, has consented to the entry of a judgment in the case, filed by the Securities and Exchange Commission on Jan.Read full story
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Topix SEC NewsDhaka stocks plunged again on Tuesday hitting fresh 26-month low as a meeting convened by the capital market regulator with the stakeholders failed to bring any remedy to halt the collapse of the market.Read full story
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In his final act before departing the Securities and Exchange Commission on Friday, the agency’s inspector general, David Kotz, criticized how the agency analyzes the economic impact of some of its Dodd-Frank rules.Read full story
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Topix SEC NewsSecurities and Exchange Commission filing late Friday, Blankfein received 45,497 shares and sold 21,248 of them at $107.44 to satisfy tax withholding obligations.Read full story
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Topix SEC NewsMore than 50 mutual funds say they own shares of the closely held social-media giant Facebook, according to investment-research firm Morningstar.Read full story
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Billionaire casino mogul Sheldon Adelson and his wife, Miriam, who have reportedly given a combined $10 million to Winning Our Future, the super PAC that supports and is run by former staffers of Republican presidential candidate Newt Gingrich, were reportedly drawn to him by a shared view of the importance of the U.S. relationship to […]
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Topix SEC NewsSAP has extended yet again the deadline for its offer to buy outstanding shares of cloud software developer SuccessFactors while a U.S. government organization investigates the proposed $3.4 billion acquisition.Read full story
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The U.S. Securities and Exchange Commission logo adorns an office door at the SEC headquarters in Washington, June 24, 2011.Read full story
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Topix SEC NewsBased on TransCanada claims, the U.S. Chamber of Commerce declares that the Keystone XL pipeline “will create 20,000 well-paying jobs.” ThinkProgress Green has learned that TransCanada, the foreign tar sands company behind the proposed Keystone XL pipeline, is facing a potential inquiry into whether it deliberately deceived investors by inflating … (more)Read full […]
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Get Green Savvygirl Living Dave Ramsey Mid-Columbia Sports Behind the Fold Red Light District Inside Opinion Business Beat Light Notes Rock Doc column Rub of the Green Mr.Read full story
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Staffers inside the Securities and Exchange Commission have a nickname for the massive Dodd-Frank financial overhaul law, which imposes hundreds of new federal rules on business: They call it the “Eugene Scalia Full Employment Act.” Funny, right? Maybe the joke works better if you know who Eugene Scalia is.Read full story
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President Barack Obama’s State of the Union pledge to create a special unit to punish fraud in mortgage finance met with skepticism Wednesday for coming so late in his term and amid signs that his administration is close to settling with large banks accused of shoddy mortgage-lending practices.Read full story
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Topix SEC NewsThey invest in short-term, highly rated debt issued by banks, governments and corporations worldwide.Read full story
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Topix SEC NewsGuidewire Software on Tuesday priced its initial public offering at $13 a share, highlighting one of two tech IPOs based on the trend of cloud computing.Read full story
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Topix SEC NewsPresident Obama announced a new unit devoted to major financial crimes as he offered tough words for Wall Street during his State of the Union address.Read full story
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Topix SEC NewsMANILA, Philippines - The prosecution has requested the impeachment court to subpoena the bank accounts of Supreme Court Chief Justice Renato Corona and his wife, Cristina.Read full story
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In an interview last Monday with veteran investigative reporter and best-selling author Gary Weiss, I described how executives at Green Mountain Coffee Roasters apparently received higher bonuses in 2011.Read full story
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Topix SEC NewsMANILA, Philippines - Chief Justice Renato Corona’s P11-million cash advance in 2003, which he supposedly used to pay for some of his condominium acquisitions, came from his wife’s family corporation that had “ceased to operate legally by 2007,” according to journalist and blogger Raissa Robles.Read full story
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The market capitalisation to GDP ratio on the Dhaka Stock Exchange fell by 17.44 percent last year due to a series of abnormal downswings.Read full story
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Topix SEC NewsSocial media is also changing the way some of us invest - and that’s where you need to be careful.Read full story
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If the Managed Funds Association has its way, hedge fund managers will be free to advertise and market their funds.Read full story
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Topix SEC NewsAccording to a recent Securities and Exchange Commission filing , William Rainville of Technology Park Drive’s Kadant Inc.Read full story
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Topix SEC NewsAs president of the Pacific Exchange in the late-1990s, Warren Langley oversaw the West Coast’s biggest financial center, a trading floor where some 17 million shares of stock changed hands daily.Read full story
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Topix SEC NewsAs president of the Pacific Exchange in the late-1990s, Warren Langley oversaw the West Coast’s biggest financial center, a trading floor where some 17 million shares of stock changed hands daily.Read full story
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A Belvedere investment adviser has pleaded guilty to committing mail fraud while defrauding clients and submitting phony documents to the Securities and Exchange Commission to conceal his crime.Read full story
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Over the holiday, the Securities and Exchange Commission revised one of the wealth requirements for people seeking to invest in private offerings that hold the allure of big returns.Read full story
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Topix SEC NewsThe SEC has charged an investment advisory arm of UBS with overstating the prices of securities in three mutual funds, some times by more than 100%. The federal regulator that that the failure “to properly price securities” in three mutual funds that it managed resulted in the mismarking of the net asset values […]
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Topix SEC NewsThe inspector general for the Securities and Exchange Commission is leaving his position after four years, during which he put the agency under harsh scrutiny and exposed serious lapses in detecting or pursuing major fraud schemes.Read full story
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Love him or hate him, there’s no denying David Kotz’s four-plus years as inspector general of the Securities and Exchange Commission helped restore some much needed accountability at Wall Street’s main regulator.Read full story
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If the dozen bank and mortgage executives most responsible for nearly killing the American economy were making license plates inside a federal prison right now, one judge’s recent attempt to force the Securities and Exchange Commission to take a tougher stand against the banks would probably have attracted much less attention.Read full story
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The firm, which named Jay Biancamano as executive chairman in November, said it would focus solely on three products: AlphaPro, a product which recommends trade execution strategies based on past experience; its Algorithm Switching Engine, which attempts to predict market moves and allows traders to switch strategies in anticipation; and the Block … (more)Read full […]
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A stockmarket regulatory panel has adopted an international definition of the free-float methodology in market capitalisation to introduce a new index for a more accurate reflection of market movements.Read full story
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Topix SEC NewsFacebook’s long-anticipated initial public offering is now likely to come in the third week of May, according to multiple sources cited Monday.That means that the company must file its IPO documents within the next month, given that the review by the Securities and Exchange Commission usually takes about three to four months.That sugges… […]
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Topix SEC NewsFacebook, the social network founded by Mark Zuckerberg in his Harvard dorm room, will likely go public the third week of May, with an offering that could raise $10 billion at a $100 billion valuation, according to AllThingsD’s Kara Swisher .Read full story
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Both the Securities and Exchange Commission and the Labor Department have slowed the pace toward their respective regulations on investment advice to determine the financial impact of the rules.Read full story
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The disgraced former Securities and Exchange Commission lawyer who got the ax after he called billionaire investor Mark Cuban “unpatriotic” in one of several inappropriate e-mails sent from his work computer, wants his job back, The Post has learned.Read full story
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Worthington Industries Inc. is recalling 14.4-ounce propylene cylinders made by its Worthington Cylinders Wisconsin LLC subsidiary because of a faulty third-party valve.Read full story
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Topix SEC NewsOn Jan. 5, two Anchorage Democratic legislators alleged that BP “withheld evidence” from the court in a 2006 case about the tax value of the trans-Alaska pipeline system.Read full story
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At their meeting Thursday, members of the Securities and Exchange Commission will consider several legal actions related to the Stanford Financial case.Read full story
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Topix SEC NewsAmerican Apparel’s beaten-down stock surged nearly 16 percent - hitting the $1 mark yesterday for the first time since mid-August - after the Securities and Exchange Commission wrapped up lengthy investigations into the company’s accounting and finances without bringing any enforcement action.Read full story
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Topix SEC NewsOn January 6, 2012, the Securities and Exchange Commission announced that it has modified its settlement policy for enforcement actions that also involve a criminal conviction or admissions by a defendant of criminal violations.Read full story
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WJB Capital Group Inc. has shut its brokerage operations after a year in which the Wall Street firm faced slower trading, a shortage of capital and interest rates of 25% on some debts.Read full story
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The Director-General of the Securities and Exchange Commission , Ms Arunma Oteh in an interview with capital market correspondents discusses the challenges facing the Nigerian capital market, steps being taken to revive the market and the expectation for 2012.Read full story
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The city recently hired Tom Mitchell as its new finance director, despite Mitchell, a former chief financial officer at Ferguson Enterprises, settling federal insider trading charges against him in 2006.Read full story
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The investors, excluding officers and directors of Senesco or funds affiliated with such officers or directors participating in the offering, will also receive 50% warrant coverage at an exercise price of $0.286 per share.Read full story
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Commodity Futures Trading Commission Chairman Gary Gensler has announced that Vincente Martinez has been hired as the first director of the CFTC’s recently opened Whistleblower Office.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from December 2011.Read full story
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Topix SEC NewsNon shareholders of Union Bank Nigeria Plc can participate in the Bank’s ongoing rights issue.Read full story
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Legislation that would allow companies to raise capital online in increments of up to $10,000 per investor sailed through the House in early November by a 407-17 vote.Read full story
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But then Reda, a New York-based compensation consultant who sometimes puts together mega-pay packages on behalf of publicly traded behemoths, learned about , a giant medical-supply company in California.Read full story
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Topix SEC NewsJohn Berlau is director of the Center for Investors and Entrepreneurs at CEI . He is also a contributor to OpenMarket.org. Berlau has written about the impact of public policy on entrepreneurship for many publications including The Wall Street Journal, Barron’s, Investor’s Business Daily, and National Review.Read full story
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Currency, part of the artifacts collection of the Titanic, is shown at a warehouse in Atlanta.Read full story
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Rock Band developer, Harmonix, which was sold by Viacom last June for the princely sum of $50 may be owed a staggering $383,000,000 by that same company it emerged this week.Read full story
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Topix SEC NewsA U.S. crackdown on so-called “conflict minerals” in eastern Democratic Republic of Congo has backfired by pushing trade deeper into the hands of criminals, including at least one former rebel leader, a U.N. report said on Friday.Read full story
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Topix SEC NewsThe Board of Trustees of the Fund has not yet approved a rights offering. No rights offering will be made unless the Fund’s Board approves such rights offering and the definitive terms of the offering, which may differ from those currently set forth in the preliminary registration statement.Read full story
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The 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.Read full story
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Topix SEC NewsCounting all share classes, the mutual fund industry killed off about 1,300 of its laggards, stragglers and strugglers in 2011, the 1owest total in years.Read full story
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