2 hrs ago | The Item
The possessions of a former North Carolina financier have drawn big bids at an auction.
7 hrs ago | MySanAntonio.com
Whistleblower: SEC still missing criminal activity
The U.S. Securities and Exchange Commission may be investigating investment managers more these days, but regulators still don't understand the business enough to stop future scandals, a New York whistle-blower for a 2003 mutual fund skimming scandal said Wednesday in San Antonio.
15 hrs ago | Seattle Post-Intelligencer
Archipelago shares leap in 1st day of trading
Shares of Archipelago Learning are rising Friday after its initial public offering priced near the top of its expected range, raising $103.1 million.
20 hrs ago | The Arizona Daily Star
7 charged in $140M real estate scheme
Seven people accused of being involved in a massive real estate fraud scheme that bilked victims a ' including some in Tucson a ' out of $140 million were charged Thursday with numerous felonies in Riverside County, Calif.
SEC Told to Improve Ways It Chooses Probe Targets
The Securities and Exchange Commission must tighten its process for deciding which investment advisers to inspect if it is to avoid colossal breakdowns like the one that allowed Bernard Madoff's multibillion-dollar fraud to go undetected for 16 years, the agency's inspector general says.
Cigarette maker Lorillard begins search for successor to CEO Martin Orlowsky
Cigarette maker Lorillard Inc. has begun seeking a successor to Chief Executive Martin L. Orlowsky, whose contract expires next year, the company said in a regulatory filing Thursday.
Man Accused Of Haitian Scheme Agrees To Pay Penalties
A man accused of bilking thousands of Haitian-Americans of millions in an investment scam where he promised to create a "nation of Haitian millionaires" must pay civil penalties for the alleged Ponzi scheme.
FINRA Will Permanently Disclose Former Brokers Disciplinary Actions
The Financial Industry Regulatory Authority is expanding its BrokerCheck service to permanently include information on final regulatory actions brought against brokers who have left the industry.
Venture won't file third-quarter report
Officials with Venture Financial Group, the former bank-holding company for Venture Bank, said Tuesday in a federal filing that they won't file financial data for the third quarter of the year.
SEC subpoenaed former NM state investment officer
The Securities and Exchange Commission subpoenaed former state Investment Officer Gary Bland to testify earlier this year as part of an investigation into public investment funds.
Former NC banker's jewels, art work and cars to be...
Jewels, art, cars and more than 150 bottles of fine wine will be auctioned off in North Carolina's capital city to help recoup nearly $70 million in losses for investors duped in an alleged Ponzi scheme.
Ex-sales VP at Santa Clara chip company Tvia charged with fraud
A former sales executive of Tvia was charged Tuesday by the Securities and Exchange Commission with hiding side agreements that inflated the earnings of the Santa Clara semiconductor company for nearly two years.
FINRA: Brokers' disciplinary records stay online
Brokers' disciplinary records will be available online to the public even if they leave the securities industry, a regulatory organization said Tuesday.
Administration widening pursuit of financial fraud
Attorney General Eric Holder says the new group will have a broader scope - and incorporate state investigators as well as federal agencies - to investigate and prosecute financial crimes that worsened the market collapse.
Fla. investment panel raps its executive director
Gov. Charlie Crist and two Cabinet members who sit on a panel that invests state money chastised their top staffer for failing to keep them updated on a Securities and Exchange Commission investigation.
The Office of the Comptroller of the ...
Eight federal regulatory agencies today released a final model privacy notice form that will make it easier for consumers to understand how financial institutions collect and share information about consumers.
House Ag committee blasts Obama financial proposal
Faced with the prospect of losing key oversight powers, members of the House Agriculture Committee and regulators Tuesday blasted an Obama administration proposal to overhaul financial rules.
Boots & Coots Files Universal Shelf
Boots & Coots, Inc. , today announced that the Company has filed a universal shelf registration statement on Form S-3 with the Securities and Exchange Commission .
Radient Pharmaceuticals Files Extension for Third Quarter 2009 Financial Results
Radient Pharmaceuticals Corporation , a US-based pharmaceutical company, announced today it has filed a Notification of Late Filing under Rule 12b-25 of the Securities Exchange Act of 1934, as amended, with the Securities and Exchange Commission for its Quarterly Report on Form 10-Q for the third quarter ended September 30, 2009.
SEC alleges - green' Denver Ponzi scheme
The Securities and Exchange Commission on Monday accused four people and two companies of perpetrating a $30 million Ponzi scheme in which they persuaded more than 300 investors nationwide to participate in purported environmentally friendly investment opportunities.
Also on Topix