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January 29, 2008, issue

Posted on January 31st, 2008 by

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January 30, 2008, issue

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Chesapeake Energy Chief Executive Aubrey K. McClendon Buys 150,000 Shares of Company Stock

Posted on January 30th, 2008 by

The chairman and chief executive of natural gas producer Chesapeake Energy Corp. via Canadian Business Magazine Read full story

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Investor group urges NYT buy more digital firms

Posted on January 30th, 2008 by

“The current board, while impressive in stature, has not been effective in inspiring the requisite bold action this media environment demands” An investor coalition that holds just under 5 percent of New York Times Co urged the publisher to spend more money to buy digital companies, according to a regulatory filing on Monday. via […]

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Former Enron auditor settles with SEC

Posted on January 30th, 2008 by

An ex-partner with Arthur Andersen has settled a civil lawsuit with the Securities and Exchange Commission over audits of Enron. via KVIA-TV El Paso Read full story

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Great Wolf investor pushes sale: Resort company also pressed to…

Posted on January 30th, 2008 by

Madison-based Great Wolf Resorts Inc. needs some new directors, and the company’s board should consider selling the indoor water park resort operator, according to a regulatory filing by one of Great Wolf’s … via Hotel Online Read full story

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Heartland Settles With SEC

Posted on January 30th, 2008 by

Topix SEC News“We’re pleased to have this matter put behind us” Milwaukee-based Heartland Advisors Inc., its president and CEO William J. Nasgovitz, and five other current or former employees have agreed to pay a total of almost $4 million to settle Securities and Exchange … via The Bond Buyer Read full story

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January 28, 2008, issue

Posted on January 29th, 2008 by

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Phenomix Files Registration Statement for Proposed Initial Public Offering

Posted on January 28th, 2008 by

Phenomix Corporation announced today that the company has filed a registration statement with the Securities and Exchange Commission relating to a proposed initial public offering of its common stock. via Freshnews Read full story

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Smell from accounting hangs at top trash hauler

Posted on January 28th, 2008 by

Topix SEC News Q : Why haven’t my shares of Waste Management Inc. done better? Is it still mixed up in all those accounting problems? V.C., via the Internet A : The nation’s largest garbage-collection and recycling company … via Chicago Tribune Read full story

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Sprint Nextel will close 125 stores in cutback

Posted on January 28th, 2008 by

Minneapolis / St. Paul Business Journal - by Kansas City Business Journal Sprint Nextel Corp. via Bizjournals Read full story

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Report: Former Dow Jones board member reaches agreement to settle US insider trading case

Posted on January 28th, 2008 by

Topix SEC News A prominent Hong Kong banker has reached a tentative agreement with the U.S. securities regulator to pay US$8 million to settle an insider trading investigation linked to shares in Dow Jones, a report said … via PR-inside.com Read full story

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January 25, 2008, issue

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Siemens grapples with corruption, but sees no recession

Posted on January 26th, 2008 by

“We assume that the effects of the US economic crisis will not hit us directly” Siemens, the German electronics and engineering conglomerate, told shareholders Thursday in Munich it was still struggling with a kickbacks scandal, but saw no threat from this week’s stockmarket tumble. via Earth Times Read full story

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Activists Push ‘Genocide-Free’ Proposal

Posted on January 26th, 2008 by

Topix SEC News“But to the extent that Fidelity feels forced to put this before shareholders, this organization is getting some attention to the issue, and Fidelity will have to take a stand” Activists pressing mutual fund firms to adopt so-called “genocide-free” investment policies have won an initial victory that’s expected to bring such a […]

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Prosecutors Name Broadcom Co-Founders

Posted on January 26th, 2008 by

Topix SEC News“They shouldn’t get any other special treatment than the general public would. … That’s not what American justice is all about.” Federal prosecutors on Thursday identified Broadcom Corp. co-founders Henry T. Nicholas III and Henry Samueli as ‘unindicted potential co-conspirators’ in an investigation into the illegal backdating of stock options.The revelation came […]

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Buffett’s Berkshire boosts stake in Burlington Northern Santa Fe railroad

Posted on January 26th, 2008 by

Topix SEC News Warren Buffett’s company is adding to its stake in Burlington Northern Santa Fe Corp., the nation’s second-largest railroad. via Sympatico Finance Read full story

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MarkWest Energy Partners Increases Quarterly Cash Distribution to $0.57 per Unit

Posted on January 26th, 2008 by

The fourth quarter 2007 distribution represents an increase of $0.02 per unit over the third quarter 2007 distribution. via PR-inside.com Read full story

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January 23, 2008, issue

Posted on January 25th, 2008 by

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January 24, 2008, issue

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Kirby Chairman Charles Berdon Lawrence Exercises Options for 36,668 Shares

Posted on January 24th, 2008 by

The chairman of Kirby Corp., which operates a fleet of oil tankers and towing vessels, exercised options for 36,668 shares of common stock under a prearranged trading plan, according to a Securities and … via Canadian Business Magazine Read full story

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ChoicePoint: SEC probe of 2 executives’ stock sales ends without charges

Posted on January 24th, 2008 by

Consumer data provider ChoicePoint Inc. said Tuesday that Securities and Exchange Commission staffers have closed their investigation of stock sales involving the company’s top two executives without … via SiliconValley.com Read full story

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Silicon Valley chip entrepreneur settles insider trading charges

Posted on January 24th, 2008 by

Topix SEC News The former director of a company specializing in teeth-straightening mouthpieces will pay nearly $3 million to settle an insider-trading lawsuit with the Securities and Exchange Commission, the SEC said … via Monterey County Herald Read full story

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Cancer Drug Securities Fraud Schemer Pleads Guilty

Posted on January 24th, 2008 by

“Mayo Clinic trained physician, with a Ph.D. in chemistry, has developed a . . . method to induce safe, practical intracellular hyperthermia.” Legal Newswire - R. Alexander Acosta, United States Attorney for the Southern District of Florida, and Jonathan I. Solomon, Special Agent in Charge, Federal Bureau of Investigation, announced that on Friday, … […]

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Former Monster CEO fined for options backdating

Posted on January 24th, 2008 by

Topix SEC News Under the settlement filed in federal court in New York on Wednesday, the Securities and Exchange Commission accused Mr. via Globeinvestor.com Read full story

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January 22, 2008, issue

Posted on January 23rd, 2008 by

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Siemens to get SEC graft case data in months: paper

Posted on January 22nd, 2008 by

Topix SEC News“But I hope to get a extensive dossier and the names in spring. Then we should be far enough along to have a complete overview of who knew what and when and who was responsible” Siemens hopes to know within months exact details of a corruption case that the U.S. markets watchdog […]

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J-Pacific Terminates SEC Registration

Posted on January 22nd, 2008 by

Topix SEC News Pacific Gold Inc. announces that it has filed a Form 15 with the United States Securities and Exchange Commission to terminate its registration with the SEC under Section 12 of the Securities and Exchange Act … via Canada NewsWire Read full story

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OGE Energy announces initial public offering for subsidiary

Posted on January 22nd, 2008 by

Topix SEC News OGE Energy announced today that its wholly owned subisidiary, OGE Enogex Partners L.P., began an initial public offering. via Oklahoma City Business Read full story

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SCOTUS Limits Scope of Securities Fraud Actions

Posted on January 22nd, 2008 by

Topix SEC News Today, the Supreme Court held 5-3 that investors may not recover against third parties whose business partners fraudulently misled them. via ACSBlog Read full story

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Former SEC chair Breeden wants fewer battles

Posted on January 22nd, 2008 by

Topix SEC News“I always hope boards will do their best to improve poorly performing companies. My goal every year is zero proxy battles.” Richard Breeden, founder of activist investment fund Breeden Capital Management LLC, has one goal this year: no proxy battles. via Reuters Read full story

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Datawatch Corporation Director Amends SEC Rule 10b5-1 Tradin…

Posted on January 20th, 2008 by

Topix SEC News“Now that I have stepped down as CEO, I expect to continue to diversify my investment portfolio and to maintain a 10b5-1 trading plan as part of my estate planning.” Datawatch Corporation , a leader in Enterprise Information Management , today announced that Director and former President and Chief Executive Officer Robert […]

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SEC urged not to revive “terrorist” watch list

Posted on January 20th, 2008 by

Topix SEC News“Sensitive judgments have to be made and the SEC is the wrong place to be doing it” WASHINGTON (Reuters) - Two business groups urged the U.S. Securities and Exchange Commission on Friday not to reinstate a Web tool aimed at helping investors identify companies with investments in countries the United States designates […]

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Greenberg hires firm to analyze AIG valuation

Posted on January 20th, 2008 by

Former American International Group Inc. Chairman Maurice R. Greenberg has hired New York-based investment banking firm Perella Weinberg Partners L.P. as a financial adviser to conduct a “valuation analysis” of … via Business Insurance Read full story

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MarkWest Energy Partners to Present at the JPMorgan Global High Yield Conference

Posted on January 20th, 2008 by

“Investor Relations / Presentations.” MarkWest’s presentation will begin at 9:00 a.m. Eastern Standard Time and is expected to last approximately 40 minutes. via PR-inside.com Read full story

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Sprint Nextel will cut 4,000 jobs, close 125 retail locations

Posted on January 20th, 2008 by

Topix SEC News“When and if we have news, then we will have it at that time” Sprint Nextel Corp. said Friday that it will eliminate about 4,000 jobs, reduce the use of outsourced services and contractors, eliminate more than 4,000 third-party distribution points and close about 125, or … via The Birmingham News Read […]

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January 18, 2008, issue

Posted on January 20th, 2008 by

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Microsoft serves ads on Edgar SEC data

Posted on January 18th, 2008 by

Tags: Advertisement , Microsoft Corp. , Richard Koman News.com’s Ina Fried blogs that Microsoft has landed a deal to provide advertising for Edgar Online , the preeminent source of Securities and Exchange … via ZDNet Blogs Read full story

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Brocade ex-CEO sentenced for stock options backdating

Posted on January 18th, 2008 by

Warning : main [ function.main ]: failed to open stream: Bad file descriptor in D:\wwwroot\paperchase\2008\01\brocade-ex-ceo-sentenced-for-stock.php on line 62 Warning : main() [ function.include ]: Failed … via Jurist Read full story

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Tam Oil and Gas increases additional oilsands leases in Peace River area

Posted on January 18th, 2008 by

Topix SEC News Tamm Oil and Gas Corp. has paid $715,292 to acquire 100 per cent ownership of an additional 21 sections of oil sands leases in the Peace River region of northwestern Alberta. via Penticton Herald Read full story

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Microsoft and EDGAR Buddy Up To Enhance Each Others Services

Posted on January 18th, 2008 by

Topix SEC News It seems that strategic partnerships are hotting for the search engine biggies this time around. via Unofficial SEO Blog Read full story

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Shipwreck, treasure, insider trading — an SEC tale

Posted on January 18th, 2008 by

When an exploration team member discovered an anomaly on the ocean floor that turned out to be a $500 million shipwreck, he found a way to get his own share of the booty — insider trading, according to the … via Reuters Read full story

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January 16, 2008, issue

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January 17, 2008, issue

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Breeden raises stake in Zale, again

Posted on January 16th, 2008 by

Topix SEC News Activist investor Breeden Capital Management LLC’s stake in jewelry chain Zale Corp. via National Jeweler Read full story

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Diebold, Regulators Reach Deal on Treatment of Revenue

Posted on January 16th, 2008 by

Diebold Inc., which has not issued revenue and earnings statements since April, said on Tuesday it has reached agreement with federal regulators over how to report revenue. via Canadian Business Magazine Read full story

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Ex-auditor settles insider-trading

Posted on January 16th, 2008 by

Topix SEC News“Any insider trading involving Wall Street professionals is a big priority for the SEC as we move into 2008″ A former PricewaterhouseCoopers LLP auditor profited from trading on inside information that he obtained from a co-worker at the accounting firm’s San Francisco office, the Securities and Exchange Commission … via Boston Globe […]

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Securities-fraud cases by shareholders face tougher fight / Setbacks…

Posted on January 16th, 2008 by

Topix SEC News“It’s like Enron and WorldCom never happened” Tuesday’s ruling follows a decision late last year by regulators allowing companies to deny shareholders access to annual director-election ballots, and comes amid share dilution and dividend cuts at big banks … via San Francisco Chronicle Read full story

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CBOE, CBOT moving closer to deal

Posted on January 16th, 2008 by

Topix SEC News“It certainly shouldn’t be harmful” The chairman of Chicago Board Options Exchange said Tuesday that settlement talks in an ownership dispute with the Chicago Board of Trade could gain momentum following an expected ruling Wednesday by the … via Chicago Sun-Times Read full story

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January 14, 2008, issue

Posted on January 16th, 2008 by

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January 15, 2008, issue

Posted on January 16th, 2008 by

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SEC ends investigation of Usana Health Sciences

Posted on January 14th, 2008 by

Topix SEC News“I respect the Securities and Exchange Commission and how hard they work at prosecuting and uncovering fraud for the public. I have not seen the letter in its entirety so I really cannot comment.” Posted Jan 11th 2008 2:45PM by Zac Bissonnette Filed under: Law , Scandals The Securities and Exchange Commission […]

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SEC finishes Usana probe, finds nothing incriminating

Posted on January 14th, 2008 by

“We have always been confident about the integrity of our company and take pride in our direct-selling business model” The U.S. Securities and Exchange Commission has completed its inquiry into Usana Health Services Inc., the Salt Lake-based vitamin maker and found nothing incriminating, the company said Friday. via Deseret Morning News Read full story

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MBIA Inc. Announces Plan to Boost Capital

Posted on January 14th, 2008 by

“It’s still a function of the market - how subprime is going to perform. Nobody really has a clear picture at this point.” MBIA Inc., parent company of the market’s largest bond insurer, yesterday debuted its plan to boost capital. via The Bond Buyer Read full story

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Traffix, Inc. Special Meeting of Stockholders to Be Held January 31, 2008

Posted on January 14th, 2008 by

Topix SEC News Traffix, Inc. , a premier interactive media company, announced that definitive proxy materials in connection with the Company ‘ s special meeting of stockholders were filed with the Securities and Exchange … via Business Wire Read full story

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SEC may deny former Chicago Board of Trade owners right to by Chicago …

Posted on January 14th, 2008 by

“We are very pleased that that has been scheduled” The Chicago Board Options Exchange has won the backing of Securities and Exchange Commission lawyers in a dispute over who gets to share in the proceeds of a planned initial public offering, two people with … via Chicago Tribune Read full story

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