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Securities and Exchange Commission News

News on Securities and Exchange Commission continually updated from thousands of sources around the net.

2 hrs ago | Lowell Sun

Lowell golf champ in stock-trade crackdown

Douglas Parigian, a Lowell attorney and 10-time Lowell City Golf Tournament champion, and Eric McPhail, also a champion golfer, competed in the same tournaments across the region in the last year.

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Related Topix: Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, American Superconductor, Manufacturing, Electronics

5 hrs ago | Christian Science Monitor

CYNK soars from 10 cents to $13.90 a share. Feds halt trading.

A map shows call centers and victims involved with a penny stock fraud scheme a year ago in New York, The SEC is investigating whether fraud was involved in penny stock CYNK Technology, which came out of nowhere and became a $6 billion company in one month.

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Related Topix: Corporate / Securities Law, Law, Financial Services, US Securities and Exchange Commission

Sat Jul 12, 2014

InvestmentNews

Fiduciary duty rule: No way out

With the outlook for passage of a uniform fiduciary duty now bleak, it's astonishing to think the prospects for strengthening investment-advice rules to better protect investors looked so bright four years ago.

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Related Topix: US Politics, US News, Barack Obama, Corporate / Securities Law, Law, Employment / Labor Law

South China Morning Post

No revenue, no assets, yet worth US$b - stock regulators pull plug on social networking firm

No revenue, no assets, yet worth US$ billion for no apparent reason - US authorities pull the plug on penny-stock social-networking company Financial regulators in the US suspended trading in a social-networking company with no assets, no revenues and one employee, whose value on the stock market soared to US$6 billion in a matter of weeks.

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Related Topix: US Energy Systems, Energy, Social Software, World News, Belize, Central America, Corporate / Securities Law, Law

Pacific Daily News

Congress needs to protect its independence

Act: In passing the STOCK Act, Congress ensured that insider trading laws applied to its members and staff.

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Related Topix: Corporate / Securities Law, Law, Opinion

South China Morning Post

Alibaba expected to receive US approval for IPO despite federal commission warnings

Mainland internet retailer has met little resistance in Washington despite warnings from federal commission of 'major risks' posed to investors Contributing to Alibaba's IPO momentum is a frothy market coupled with great investor interest in Chinese internet firms.

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Related Topix: Alibaba, World News, China, Asia, US News, Corporate / Securities Law, Law, US Politics, US Senate, Robert Casey, Democrat

The Miami Herald

SEC and California school district settle dispute

The sprawling Kings Canyon Unified School District on Tuesday settled federal charges that it had misled investors during a 2010 bond offering.

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Related Topix: Corporate / Securities Law, Law, Education Etc.

JD Supra

Firms Charged with Both Bribery and Financial Crime Hit Hardest by FCPA Enforcement

Although passed in 1977, the Foreign Corrupt Practices Act was not significantly enforced until 2005.

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Related Topix: US News, Corporate / Securities Law, Law

Fri Jul 11, 2014

AmericanBankingNews.com

Insider Buying: Carlson Capital L. P Purchases 827,549 Shares of TRI Pointe Homes Stock

TRI Pointe Homes major shareholder Carlson Capital L. P purchased 827,549 shares of TRI Pointe Homes stock on the open market in a transaction that occurred on Monday, June 30th.

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Related Topix: Corporate / Securities Law, Law

Reuters

Investor lawsuit accuses Lions Gate of concealing SEC probe

Lions Gate Entertainment Corp, the studio behind the "Hunger Games" movies, was hit with a shareholder lawsuit on Friday that alleges it fraudulently concealed a U.S. regulatory probe into whether it deceived shareholders as it fought off a hostile takeover by billionaire Carl Icahn.

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Related Topix: Corporate / Securities Law, Law, Media, Lions Gate Entertainment, US Securities and Exchange Commission, Financial Services

Long Island Business News

Huntington Station resident charged with securities fraud

The Securities and Exchange Commission has charged five people, including a Huntington Station resident, with seeking to manipulate the stock of Amogear, a company controlled by the FBI.

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Related Topix: Corporate / Securities Law, Law, Huntington Station, NY

Silicon Alley Insider

The SEC Charges 'Golfing Buddies' In Insider Trading Scheme

A group of golfing buddies were charged by the Securities and Exchange Commission in an alleged insider trading scheme that netted them more that $554,000 in illicit profits, the agency said in a release .

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Related Topix: Corporate / Securities Law, Law, Insider, Club, American Superconductor, Manufacturing, Electronics

Business Journal

C1 Bank files paperwork to go public

C1 Financial filed papers with the U.S. Securities and Exchange Commission for a proposed initial public offering of its common stock on Friday.

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Related Topix: US Securities and Exchange Commission, Financial Services, Corporate / Securities Law, Law, Raymond James and Associates, Investment Services

SFGate

Sec Issues Statement on Cynk Trading Halt

Now, the SEC has suspended trading in CYNK until July 24, "because of concerns regarding the accuracy and adequacy of information in the marketplace and potentially manipulative transactions in CYNK's common stock."

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Related Topix: Corporate / Securities Law, Law, Business News

PE Hub

Growth investor Spectrum Equity raises $1 bln for Fund VII

Spectrum Equity has officially closed its Fund VII on the hard cap of $1 billion, crushing the original $800 million target, the firm announced Thursday.

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Related Topix: US Securities and Exchange Commission, Financial Services, Corporate / Securities Law, Law

AmericanBankingNews.com

State Auto Financial Corp Price Target Raised to $24.00 at Sandler O'Neill

Sandler O'Neill's target price would indicate a potential upside of 4.35% from the stock's previous close.

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Related Topix: State Auto Financial, Insurance, Corporate / Securities Law, Law

Thu Jul 10, 2014

AmericanBankingNews.com

Insider Buying: Sanofi Buys 348,000 Shares of Regeneron Pharmaceuticals Stock

Regeneron Pharmaceuticals major shareholder Sanofi acquired 348,000 shares of Regeneron Pharmaceuticals stock in a transaction dated Wednesday, July 9th.

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Related Topix: Biotech, Medicine, Regeneron Pharmaceuticals, Healthcare Industry, Corporate / Securities Law, Law

Silicon Alley Insider

A Third Of Advisors Want To Buy Another Practice In The Next Five Years

In the next five years, there will be plenty of buyers for financial advisor practices.

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Related Topix: Corporate / Securities Law, Law, Mutual Funds, Personal Finance

Post-gazette.com

U.S. companies wary of suppliers' conflict minerals

Wandering into an American Eagle Outfitters store, a customer is more likely to wonder if a denim jacket will look good with a purple V-neck T-shirt than whether that jacket's metal buttons contributed to the war chests of armed groups in the Democratic Republic of Congo.

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Related Topix: Retail, Apparel, American Apparel, American Eagle Outfitters, Corporate / Securities Law, Law, Watches, Wal Mart Stores

Reuters

COMPLY-Why U.S. election season donations can trip up advisers

The U.S. election season is under way, which means opportunities are mounting for public retirement plan advisers to do the wrong thing.

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Related Topix: Personal Finance, Retirement, Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, Pension

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