Corporate / Securities Law News

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Boston Herald General Economics Reporter Jay Fitzgerald has been a journalist and blogger for years.

Federal regulators filed an "emergency law enforcement action" Tuesday afternoon charging a Minneapolis money manager and a Burnsville radio personality with running a Ponzi scheme that defrauded at least 1,000 people out of more than $190 million in fraudulent currency investment scheme.

A lawyer who is representing a Michigan money manager accused of fraud has his own legal problems.

The use of wiretaps and recordings of conversations to help underpin the insider trading case against the Galleon Group hedge fund struck legal experts as unusual, for an investigation involving the Securities and Exchange Commission.

Raj Rajaratnam, the billionaire founder of Galleon Group, on Tuesday rejected federal insider trading charges, and accused the government of violating his constitutional rights with its use of wiretaps.

QuinStreet Inc. plans an initial public offering of $250 million in common stock, according to a regulatory filing.

Elisse Walter, member of the Securities and Exchange Commission, called for legislative changes to put municipal bond markets on a more even footing with the stock and corporate bond markets.

Submitted by Amanda Odom on November 18, 2009 - 6:14pm. Business News Jobs/Economy Sequatchie County News Comments Below: 0 A A A A A local county is left wondering about a new business after the SEC charges Mantria with fraud.

ICAP, the inter-dealer broker, plans to vigorously defend itself if the US financial watchdog moves to penalise it after issuing the FTSE 100 company with a warning notice for "possible violations of the federal securities laws". America's Securities and Exchange Commission last month issued ICAP Securities USA - a subsidiary of the City business ...

The SEC further alleges that Tvia's former Chief Financial Officer Diane Bjorkstrom of Palo Alto, Calif., also played a role in Tvia's improper accounting, allowing Tvia to recognize revenue on merchandise shipped to a customer weeks before the customer had agreed to accept it, and failing to act on red flags surrounding Silva's misconduct.

The Securities and Exchange Commission settled charges against SafeNet Inc. for backdating of stock options and violations of Regulation G which governs non-GAAP financial measures such as EBITDA .

The U.S. Securities and Exchange Commission has charged four people in connection with an alleged $30 million Ponzi scheme that targeted more than 300 elderly and near retirement age investors who were seeking environmentally-friendly investments, reports the Philadelphia Business Journal .

Money managers are fighting legislation that would - for the first time - subject the roughly 4,000 firms associated with broker-dealers to regulation by the Financial Industry Regulatory Authority.

The Securities and Exchange Commission last week charged two computer programmers for their role in helping convicted Ponzi schemer Bernard L. Madoff cover up the fraud at Bernard L. Madoff Investment Securities LLC for more than 15 years.

The Securities and Exchange Commission has charged a San Diego County man with securities fraud, saying he targeted Somali immigrants in San Diego and Seattle.

The possessions of a former North Carolina financier have drawn big bids at an auction.

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.

Shares of Archipelago Learning are rising Friday after its initial public offering priced near the top of its expected range, raising $103.1 million.

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.