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SEC probe hits international FA firm targeting UK expat pension pots

An international financial advice firm specialising in targeting British expatsâ?? pension funds and investments is now being investigated by the USA Securities and Exchange Commission. The DeVere Group has long been active in retirement destinations favoured by expats from the UK, with its high fees and aggressive marketing tactics... Expats Blog -

Recent DOJ and SEC Charges Against Pastors Demonstrate Risks of Affinity Fraud

5 days agoIndustries / Law : Zamansky

The Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) recently issued separate press releases warning investors nationwide of the risks of affinity fraud schemes – schemes targeting individuals within certain groups or affiliations – being perpetrated by religious leaders. Show More Summary

New FINRA Rule Seeks to Enhance Protections for Senior Investors

5 days agoIndustries / Law : Zamansky

In March 2017, the Financial Industry Regulatory Authority (FINRA) received approval from the Securities and Exchange Commission (SEC) to adopt two rule changes designed to help protect senior investors against investment fraud. TheShow More Summary

Paper: 'No admit-No deny' settlements undercut accountability in civil enforcement

Should federal regulatory agencies such as the Securities and Exchange Commission require admissions of guilt from the targets of civil investigations? According to a new paper co-written by a pair of University of Illinois law professors,...Show More Summary

Hedge fund manager Lee Cooperman has settled with the government

Lee Cooperman has settled insider trading charges with the Securities and Exchange Commission for $4.9 million, the Financial Times is reporting. Last year, Cooperman, the founder of Omega Advisors, was charged with insider trading.Show More Summary

Apple preparing 2.5B euro bond sale to fund capital return program for shareholders [u]

Apple is preparing a new bond sale in euros, according to a U.S. Securities and Exchange Commission filing by the company, though many of the details are still guarded.

Equity crowdfunding is 1 year old today, Wefunder is top platform

GUEST: Since Regulation Crowdfunding began on May 16 last year, 335 companies have filed offering documents with the Securities and Exchange Commission (SEC) to fundraise on securities-based crowdfunding platforms. Of those companies, 43 percent were funded, 30 percent failed, and the remainder are still open and trying to get funding. The total capital committed to date […]

Puerto Rico Could Be Forced Under SEC Jurisdiction

Submitted by Simon Black of Sovereign Man What happened: Puerto Rico has long been a safe haven for businesses and investors weary of the Securities and Exchange Commission. Despite the fact that Puerto Rico’s public sector is going through bankruptcy, the private sector has enjoyed relative freedom from the intrusive hands of the U.S. Show More Summary

Sweeping Changes At SEC Under New Leadership

Expect sweeping changes in procedural operations, enforcement and overall philosophy at the Securities and Exchange Commission (SEC) under new agency leaders appointed by President Donald Trump. Key among the institutional changes already...Show More Summary

Paul Elio Wishes Folks Would Look On the Bright Side

As TTAC reported recently, Elio Motors disclosed in its most recent annual report to the Securities and Exchange Commission it needs an additional $64 million to begin series production of its first vehicle at a former General Motors assembly plant in Shreveport, Louisiana. Show More Summary

Barclays, traders to pay fines

London – Two former Barclays traders have agreed to settle Securities and Exchange Commission (SEC) claims that they misrepresented prices of bonds they sold to customers, earning excessive mark-ups in the process. Yoon Seok Lee, 33,...Show More Summary

Apple ramping up for another bond sale, blowing it far past all other funds

In a filing with the U.S. Securities and Exchange Commission, Apple is readying yet another bond sale, and has essentially purchased an equivalent value in corporate debt to equal the world's largest mutual fund.

Dole’s Springfield shutdown, recalls cost company $36 million

Because the Dole Food Company is going public, financial documents it has filed with the Securities and Exchange Commission are available showing how much recalls and shutdowns have cost the company’s  Dole Fresh Vegetables unit during the past two years. A 2015 recall of bagged salads distributed in 13 states because a sample of Dole... Continue Reading

Jay Clayton sworn in as chairman of the US SEC

3 weeks agoNews : The Raw Story

Wall Street attorney Jay Clayton was officially sworn in as chairman of the U.S. Securities and Exchange Commission by U.S. Supreme Court Justice Anthony Kennedy on Thursday, the agency announced. As head of the SEC, which polices U.S. financial markets, Clayton is expected to focus on ways to...

There's an incredibly risky new way to bet on stocks (UP, DOWN)

A pair of new exchange-traded funds just hit the market that will allow investors to make money faster than ever before. But they can lose it just as quickly too. The Securities and Exchange Commission approved the two new ETFs on Tuesday. The...Show More Summary

HMM: SEC Probes Solar Companies Over Disclosure of Customer Cancellations. The Securities and Exc…

HMM: SEC Probes Solar Companies Over Disclosure of Customer Cancellations. The Securities and Exchange Commission is examining whether San Francisco-based Sunrun Inc. RUN -8.06% and Elon Musk’s San Mateo, Calif.-based SolarCity Corp....Show More Summary

SEC probing Tesla's SolarCity divsion and Sunrun

The Securities and Exchange Commission is looking into solar firms Sunrun and SolarCity.

Senate votes to proceed with confirmation vote on SEC nominee

3 weeks agoNews : The Newsroom

By Sarah N. Lynch WASHINGTON (Reuters) - The U.S. Senate took a procedural vote on Monday to clear the way for confirming Jay Clayton as the next head of the Securities and Exchange Commission. In a 60-36 vote, the Republican-led Senate voted to end debate on Clayton, with some Democrats joining Republicans in support. Show More Summary

US Senate votes to confirm Jay Clayton as SEC chairman

3 weeks agoNews : The Raw Story

The U.S. Senate voted on Tuesday to confirm attorney Jay Clayton to head the Securities and Exchange Commission, the agency tasked with policing and writing rules for Wall Street. In a 61-37 vote, the Senate approved the nomination, with some moderate Democrats joining their Republican colleagues...

Senate confirms Wall St. attorney Clayton to head SEC

The Senate has confirmed Jay Clayton, the Wall Street attorney chosen by President Donald Trump to lead the Securities and Exchange Commission. The vote was 61-37 on Tuesday. Clayton will … Click to Continue »

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