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Silicon Valley executive settles SEC insider trading charges

(Reuters) - A Silicon Valley executive agreed to pay $534,303 to settle U.S. Securities and Exchange Commission charges he conducted insider trading in a semiconductor equipment company that was hoping to solicit a competing bid before being sold, the regulator said on Monday. Show More Summary

Administrative Law Judges Are Unconstitutional

The administrative state has ballooned in size and power—essentially having become its own branch of government—and Cato has now filed an amicus brief saying enough is enough. The Securities and Exchange Commission, no longer content...Show More Summary

Ex-pharmaceutical CEO Ferrone convicted of fraud

3 days agoNews : The Raw Story

A U.S. federal jury found former Immunosyn Corp Chief Executive Stephen Ferrone guilty on Friday of fraudulently misleading investors, U.S. securities regulators said. The U.S. Securities and Exchange Commission in 2011 had charged California-based Immunosyn with misleading investors about the...

SEC, Port Authority discussing probe resolution

The Securities and Exchange Commission has been discussing a possible resolution of its probe into the Port Authority of New York and New Jersey. Bond documents published Thursday by the bistate... To view the full story, click the title link.

Rattner Drops Bid to Return to Investment Banking

He acted within weeks of the Securities and Exchange Commission’s order that cleared his path to affiliate with Guggenheim Securities.

Valeant's New CEO Joe Papa Will Make Over $500 Million If Stock Rockets To $270 By 2020

Documents Valeant filed with the Securities and Exchange Commission on Wednesday indicate incoming CEO Joe Papa could make nearly $100 million if the company can return to its October 2015 level of $150 a share.

Why haven’t bankers been punished? Just read these SEC insider emails

last weekNews : The Raw Story

This story was co-published with The New Yorker. It is not subject to our Creative Commons license. In the late summer of 2009, lawyers at the Securities and Exchange Commission were preparing to bring charges in what they expected would be their first big crackdown coming out of the financial...

Why the S.E.C. Didn’t Hit Goldman Sachs Harder

In the late summer of 2009, lawyers at the Securities and Exchange Commission were preparing to bring charges in what they expected would be their first big crackdown coming out of the financial crisis. The investigators had been looking...Show More Summary

Blood-testing firm Theranos faces Justice Department and SEC investigations

Theranos Inc. is being investigated by the Justice Department and Securities and Exchange Commission, another set of blows to the Silicon Valley blood-testing company as it faces increased scrutiny about the reliability and accuracy of its tests. In a Monday memo to external partners including...

SEC sues two ex-Logitech executives for inflating results

(Reuters) - The U.S. Securities and Exchange Commission has sued two former executives of computer accessories maker Logitech International SA, accusing them of deceiving investors in 2011 by inflating the results of an unsuccessful TV set-top device. Show More Summary

Beleaguered unicorn Theranos under investigation by the SEC, U.S. Attorney

Updated | Theranos is currently under investigation by the U.S. Attorney’s Office for the Northern District of California and the Securities and Exchange Commission (SEC), marking yet another regulatory probe by the government into the...Show More Summary

SEC Alleges ‘Ponzi-Like’ Scheme in Vermont Involving EB-5 Visa Program

The U.S. Securities and Exchange Commission has filed a civil lawsuit alleging a “massive eight-year fraudulent scheme” involving a series of real-estate developments by Jay Peak ski resort in Vermont and a federal program that offers green cards to foreign investors.

Fidelity Investments Slouches Toward ‘Smart Beta’ ETFs

Fidelity Investments took a step toward offering "smart beta" exchange-traded funds by asking regulators for additional leeway to create home-cooked stock index funds. Fidelity petitioned the Securities and Exchange Commission in a recent filing for more freedom to create "self-indexed" ETFs. Show More Summary

Texas AG Charged with Stock Fraud

Texas Republican Attorney General Ken Paxton on Monday was charged with securities fraud in federal court. The U.S. Securities and Exchange Commission alleges in court documents that Paxton and one other man were paid commissions by Servergy, a technology company, "to promote the company to potential investors. Show More Summary

Monday Night News: Ken Paxton, Alexander Skarsgard, Laura Bush, Tigers, Ben Whishaw, Male Model Instagram

3 weeks agoLGBT / Gay : Towleroad

TEXAS. Anti-gay GOP Attorney General Ken Paxton, who is still fighting the Supreme Court’s ruling on gay marriage, has been charged with securities fraud: “The U.S. Securities and Exchange Commission alleges in court documents that Paxton…...Show More Summary

Texas’ Gay-Bashing, Immigrant-Deporting Attorney General Charged with Fraud—Again

On Monday, the U.S. Securities and Exchange Commission filed charges against Texas Attorney General Ken Paxton for alleged acts of securities fraud. According to the federal regulators, Paxton raised $840,000 for a tech startup while...Show More Summary

Texas Attorney General, Already Facing Criminal Charges, Accused Of Civil Fraud

3 weeks agoNews : The Two-Way

The U.S. Securities and Exchange Commission has charged Texas Attorney General Ken Paxton with securities fraud for allegedly improperly recruiting investors for a high-tech Texas startup.

Texas attorney general charged with federal securities fraud

3 weeks agoNews : NY Daily News

The U.S. Securities and Exchange Commission filed the civil lawsuit against Paxton and former executives of Servergy Inc.

While the SEC Ignores Climate Change Risks, Others Step Up

In 2010, the Securities and Exchange Commission took one giant step towards acknowledging climate change as a financial risk and opportunity for markets, and not simply the major environmental threat of our time. The SEC's formal guidance...Show More Summary

Texas AG Ken Paxton, Who's Still 'Investigating' Planned Parenthood, Charged with Civil Securities Fraud 

Texas Attorney General Ken Paxton was formally charged Monday with civil securities fraud by the U.S. Securities and Exchange Commission. Paxton was criminally indicted last year on a similar felony fraud charges. Paxton has spent much of this year pledging to investigate Planned Parenthood for horrible wrongdoing. Read more...

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