Topix SEC NewsBoston Herald General Economics Reporter Jay Fitzgerald has been a journalist and blogger for years.Read full story
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Topix SEC NewsFive weeks after he was arrested on charges of masterminding a vast insider-trading scheme, Raj Rajaratnam , the billionaire money manager, answered his accusers on Tuesday with a sharp-edged attack on the government’s case against him.Read full story
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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.Read full story
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Federal officials are selling a house and three boats that used to belong to Donald Anthony Walker Young, who is accused of masterminding a Ponzi scheme.Read full story
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Topix SEC NewsYour paycheck may be smaller, but the highest-paid board members at local public companies have received anywhere from a 31 percent to 500 percent increase in cash compensation in the recession.Read full story
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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.Read full story
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Topix SEC NewsMiami skirted financial integrity rules — enacted in the wake of City Hall’s 1990’s-era financial meltdown — by using “inaccurate and misleading” budgetary practices as it scrambled to fill budget holes, the city’s internal auditor has concluded.Read full story
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Topix SEC NewsThe federal government is selling a Maine house and three boats that used to belong to a man charged with defrauding investors in a Pennsylvania company of $23 million.Read full story
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Topix SEC NewsU.S. regulators are increasingly looking beyond stocks in their insider trading investigations to examine derivatives and credit default swaps, a top Securities and Exchange Commission official said.Read full story
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NEW YORK - A federal judge on Wednesday ordered The Reserve Primary Fund, which last year roiled the $3 trillion money-market industry by “breaking the buck,” to pay out its remaining assets to shareholders waiting to get their money back.Read full story
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The first podcast in a two-part series on pandemic preparedness focuses on business continuity planning and results from a recent FINRA survey. Hosts: Terry Miller and Nia Stephens-Mobley. Producers: Jeff Lamoreaux and Kenneth Edward Piner.Read full story
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Topix SEC NewsA new development related to the government’s investigation of possible insider trading at a major hedge fund has raised questions in the case and caught the attention of two key senators.Read full story
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Topix SEC NewsWorkers at AOL Inc. on Thursday got the news no one ever needs, but especially not in a recession.Read full story
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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.Read full […]
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Topix SEC NewsThe 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 .Read full story
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Topix SEC NewsSoros Fund Management LLC, the hedge fund run by billionaire investor George Soros, increased its holdings in U.S. stocks to $6.2 billion from $4.2 billion and bought a stake in Ford Motor Co.Read full story
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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 …Read full story
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Topix SEC NewsA 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.Read full story
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Brokers’ disciplinary records will be available online to the public even if they leave the securities industry, a regulatory organization said Tuesday.Read full story
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Topix SEC NewsCongress 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.Read full story
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Topix SEC NewsJewels, 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.Read full story
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This podcast covers upcoming changes to two Continuing Education Regulatory Element Programs: the S101 and the S106. Hosts: Joe McDonald and Amaka Omenka. Producers: Jeff Lamoreaux and Kenneth Edward Piner.Read full story
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There’s a good chance Darwin Deason is about to become a billionaire. The founder of Dallas-based Affiliated Computer Services Inc.Read full story
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Orthologic Corp. filed Quarterly Report for the period ended 2009-09-30. OrthoLogic developsmanufactures and markets proprietarytechnologically advanced orthopedic products and packaged services for the orthopedic health care market including bone growth stimulation devicescontinuous passive motion devices and ancillary orthopedic recovery products …Read full story
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The former CFO of a New York-based hedge fund has been charged with securities fraud by the US market regulator.Read full story
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Federal regulators have notified Beazer Homes USA Inc. that its top executive could face civil charges over incentive compensation.Read full story
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Topix SEC NewsThe Securities and Exchange Commission on Monday accused four people and two companies of perpetrating a $30 million Ponzi scheme in which they persuaded more than 300 investors nationwide to participate in purported environmentally friendly investment opportunities.Read full story
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Larry Langford waits to go through security outside the Federal Building in Tuscaloosa, Ala., on Wednesday morning, Oct.Read full story
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Gary, Ind. — The company that owns two casinos along Indiana’s Lake Michigan shore and others in Mississippi and Colorado has been declared in default on nearly $80 million in debt by its lenders.Read full story
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Valero Energy Corp. is urging its shareholders to reject an unsolicited mini-tender offer by TRC Capital Corp.Read full story
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The Securities and Exchange Commission’s settlement last week with JPMorgan over payments former bankers made to get municipal bond and swap business from Jefferson County, Ala., as well as other recent enforcement actions, show the SEC is not afraid to pursue complex and difficult financial crimes, the agency’s head of enforcement said yesterday.Read full story
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Ivanhoe Energy Inc., a Canadian oil and gas company, said Friday that it named Gerald Schiefelbein as its chief financial officer, taking over for retiring CFO Gordon Lancaster.Read full story
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Revisit the latest Notices, compliance resources and news from October 2009. Hosts: Kenneth Edward Piner and Michelle Volpe-Kohler. Producer: Kenneth Edward Piner.Read full story
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A discussion of FINRA’s rule governing recommended purchases and exchanges of deferred variable annuities. Hosts: Larry Kosciulek and Jim Wrona. Producers: Jeff Lamoreaux and Kenneth Edward Piner.Read full story
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Topix SEC NewsAtheros Communications Inc’s Ali Hariri is the latest Silicon Valley executive to be charged in the largest hedge fund insider trading case in U.S. history.Read full story
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A former lawyer with the enforcement division of the Securities and Exchange Commission has pleaded guilty to conspiracy in a fraud carried out by a prominent Manhattan lawyer.Read full story
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Measures that would significantly boost funding for the Securities and Exchange Commission as well as give shareholders a say on executive pay are included in draft financial overhaul legislation in the Senate, a person familiar with the matter said Monday.Read full story
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Topix SEC NewsLast week’s Supreme Court case has once again brought mutual fund fees to the national spotlight, but a decision by the court might not come for several months, if it comes at all.Read full story
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Before it completes its deal to buy out the rest of BNSF Railway, Warren Buffett’s Berkshire Hathaway will divest its shares of Union Pacific Railroad and Norfolk Southern Railway.Read full story
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