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Corporate / Securities Law News

News on Corporate / Securities Law continually updated from thousands of sources around the net.

1 hr ago | Reuters

Industry worries haste could hurt CFTC reform

The Commodity Futures Trading Commission looks eager to move quickly to implement trading limits on commodity and energy futures, leaving opponents little time to argue that the agency is going too far, too fast.

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Related Topix: Law, Missouri

9 hrs ago | Jurist

US futures commission proposes energy speculation limits

CFTC Chairman Gary Gensler [official profile] said that the different regulatory treatment given to agriculture commodities, for which the CFTC sets position limits, and energy commodities, for which position limits are set by the exchanges, "deserves thoughtful review." The Commission is considering extending CFTC trade volume limits to energy ...

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Related Topix: Law

Fri Jul 10, 2009

Kansas' CW

Cessna Cancels Columbus Citation

Cessna cancels its Citation Columbus business jet. The program would have brought more than 1,000 jobs to Wichita.

Comment?

Related Topix: Wichita Metro, Wichita, KS, Securities and Exchange Commission, Law

Guardian Unlimited

Administration seeks to bolster SEC's authority - AP

A A A' The Obama administration has sent Congress legislation designed to protect investors by bolstering the authority of the Securities and Exchange Commission.

Comment?

Related Topix: Securities and Exchange Commission, US News, Mutual Funds, Personal Finance

Daily Herald

SEC freezes assets of Highland Park firm

The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Highland Park-based hedge fund manager and his firm for facilitating a multi-billion dollar Ponzi scheme operated by Minnesota businessman Thomas Petters.

Comment?

Related Topix: Securities and Exchange Commission, Law

IBJ.COM

Ameriprise paying $17.3M to settle SEC case

Ameriprise Financial Services Inc. on Friday agreed to pay more than $17 million to settle federal regulators' charges that it failed to disclose nearly $31 million received for selling certain investments to its brokerage customers.

Comment?

Related Topix: Securities and Exchange Commission, Law, REIT, Personal Finance

MSN Money

SEC, CFTC to police OTC derivatives: document

U.S. Treasury Secretary Timothy Geithner is set to propose on Friday giving securities and futures regulators authority to police the over-the-counter derivatives market, according to a document obtained by Reuters.

Comment?

Related Topix: Securities and Exchange Commission, Law

ABS-CBN News

SEC approves Smartmatic-TIM venture

The Securities and Exchange Commission has approved the incorporation of Smartmatic TIM Corp.

Comment?

Related Topix: Securities and Exchange Commission, Law, Computers

Thu Jul 09, 2009

The Hindu

Marico to raise Rs 9.5 crore through IPO in Bangladesh

Mumbai :P FMCG major Marico today said one of its wholly-owned subsidiaries will raise 135 million taka through an Initial Public Offering in Bangladesh.

Comment?

Related Topix: Securities and Exchange Commission, Law

Seattle's WB

SEC expected to call for California IOUs to be regulated as securities

The recipients of billions of dollars in IOUs being issued by California soon may have a regulated market where they could sell them.

Comment?

Related Topix: Securities and Exchange Commission, Law

New York Post

DC Eyeing New Regs on Energy

US regulators say they may clamp down on oil and gas price speculators by limiting the holdings of energy futures traders, including index and exchange-traded funds.

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Related Topix: Law, US Politics, US News, US Senate, Bernard Sanders, US House of Representatives, Bart Stupak, Democrat

Post and Courier

Feds sue ex-officer at UCI

COLUMBIA a ' Federal regulators this week sued a former executive of Columbia-based UCI Medical Affiliates, manager of Doctors Care medical clinics, over the embezzlement of $2.97 million.

Comment?

Related Topix: Securities and Exchange Commission, Law

Newsday.com

Head of SEC inspections office since 1995, Lori Richards leaving agency in August

The official who has headed a key division at the Securities and Exchange Commission since its creation in 1995 is leaving the agency.

Comment?

Related Topix: Securities and Exchange Commission, Law, Mutual Funds, Personal Finance

Wed Jul 08, 2009

Wall Street Folly

SEC charges Sky Capital CEO Ross Mandell and 5 others in multi million dollar boiler room scheme

Here's the press release detailing the SEC boiler room charges against Sky Capital CEO Ross Mandell, COO Stephen Shea and four registered reps: FOR IMMEDIATE RELEASE 2009-152 Washington, D.C., July 8, 2009 a ' The Securities and Exchange Commission today charged New York-based broker-dealer Sky Capital LLC and six individuals involved in a ...

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Related Topix: Securities and Exchange Commission, Law, New York, US Travel, Travel, Brooklyn, NY, New York, NY, Financial Markets

Lubbock Avalanche-Journal

Paris Hilton film trial rooted in Ponzi scheme

In a Saturday, July 4, 2009 file photo, heiress Paris Hilton, center, dances as she arrives to host a party in Beirut, Lebanon.

Comment?

Related Topix: Paris Hilton, World News, Lebanon, Theater, Arts, Law, Securities and Exchange Commission, Entertainment

The Post Chronicle

U.S. Regulator To Identify Hedge Fund Bets In Commods

The regulator of U.S. commodity markets said on Tuesday his agency's weekly Commitments of Traders report will be revamped to include hedge fund positions for better transparency.

Comment?

Related Topix: Law

Gainesville.com The Gainesville Sun G...

U.S. Considers Curbs on Speculative Trading of Oil

Reacting to the violent swings in oil prices in recent months, federal regulators announced on Tuesday that they were considering new restrictions on "speculative" traders in markets for oil, natural gas and other energy products.

Comment?

Related Topix: Mortgage, Home, Law

Freerepublic.com

Smart Online CEO and Two Others Found Guilty of Manipulation of Company Stock

LEV L. DASSIN, the Acting United States Attorney for the Southern District of New York, announced that DENNIS MICHAEL NOURI, the former Chief Executive Officer and President of Smart Online, REZA ERIC NOURI, a former Smart Online employee and brother of the CEO, and stock broker ANTHONY MARTIN were found guilty today, after a three-week jury trial ...

Comment?

Related Topix: Securities and Exchange Commission, Law

Tue Jul 07, 2009

Bloomberg

Stanford Asks Judge for Access to Funds to Defend Against Criminal Charges

R. Allen Stanford , who the U.S. accuses of leading a $7 billion securities fraud, told a federal judge the criminal case against him should be thrown out if he doesna t get access to money to pay his lawyers.

Comment?

Related Topix: Criminal Defense Law, Law, Securities and Exchange Commission, Financial Services, US News

The Dallas Morning News

3 Dallas businessmen accused of running $485 million Ponzi scheme 12:19 PM CT

The Securities & Exchange Commission filed civil fraud charges Tuesday against three Dallas businessmen, alleging they orchestrated a $485 million Ponzi scheme through a company called Provident Royalties LLC.

2 comments

Related Topix: Dallas Metro, Dallas, TX, Securities and Exchange Commission, Law

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