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UPDATE 1-Two Hong Kong firms to pay $11 mln to settle SEC insider trading charges
2014-01-28 13:40:31| Oil & Gas - Topix.net
Two Hong Kong asset management firms have agreed to pay $10.9 million to settle charges by the U.S. Securities and Exchange Commission of insider trading ahead of a bid by China's CNOOC for Canadian oil company Nexen Inc. The proposed accord, disclosed in a court filing Monday, would add to the more than $18 million the U.S. securities regulator ... (more)
Ex-Dow Chemical exec, Raymond James settle SEC insider case
2014-01-15 05:18:43| Chemicals - Topix.net
A former Dow Chemical Co executive agreed to pay a $367,250 fine and be banned from serving as an officer or director of a public company to settle civil charges of insider trading over the 2008 takeover of Rohm and Haas Co.
SIFMA Statement on SEC Muni Advisor Guidance
2014-01-12 05:10:39| Footwear - Topix.net
NEW YORK , Jan. 10 -- The Securities Industry and Financial Markets Association issued the following news release: SIFMA today issued the following statement from Kenneth E. Bentsen , Jr., SIFMA president and CEO, in response to the Interpretive Guidance on Municipal Advisor Registration Rules released by the Securities and Exchange Commission : ... (more)
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sec
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Material Sciences Shareholder Alert: Former SEC Attorney Willie...
2014-01-11 13:37:10| Industrial Machines - Topix.net
Former United States Securities and Exchange Commission attorney Willie Briscoe and the securities litigation firm of Powers Taylor LLP are investigating potential claims against the Board of Directors of Material Sciences Corp. related to the proposed acquisition by New Star Metals, Inc. for shareholders.
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sec
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attorney
SEC charges Diamond Foods over nutty accounting
2014-01-10 03:16:19| Agriculture - Topix.net
The Securities and Exchange Commission said Thursday that the company and its former CEO have settled charges related to an allegedly fraudulent accounting scheme used to boost earnings results.
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accounting
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