Securities and Exchange Commission News

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.

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

Boots&Coots Inc., an oil and gas exploration company, said Tuesday it has filed a universal shelf registration statement with the Securities and Exchange Commission to sell $250 million in securities but has no immediate plans to do so.

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.

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.

The U.S. 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 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.

Microvision , Inc. , a global leader in light scanning technologies, today announced that it intends to offer to sell, subject to market and other conditions, shares of its common stock in an underwritten public offering.

The Securities and Exchange Commission has six "significant deficiencies" that prevented it from having effective internal controls over its financial reporting as of Sept.

Tenneco Inc. today announced that the public offering of 12,000,000 shares of its common stock has priced at $16.50 per share.

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.

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.

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.

Congress ought to clarify if a proposed super-regulator of the U.S. financial system should be an overlapping overseer of securities and futures exchanges, the chief futures regulator said on Tuesday.

Brokers' disciplinary records will be available online to the public even if they leave the securities industry, a regulatory organization said Tuesday.

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.

Attorney General Eric Holder, Treasury Secretary Tim Geithner, Housing and Urban Development Secretary Shaun Donovan, and Securities and Exchange Commission Chairwoman Mary Schapiro today announced that President Barack Obama has established by Executive Order an interagency Financial Fraud Enforcement Task Force to strengthen efforts to combat ...

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.

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