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Top Goldman Lawyer Named SEC Chief of Staff

Andrew “Buddy” Donohue, a top lawyer at Goldman, Sachs & Co., will serve as the U.S. Securities and Exchange Commission's next chief of staff, the agency announced Thursday       

First Slice 5/22/15: SEC charges Atlanta investment firm with defrauding public pension clients

The U.S. Securities and Exchange Commission has charged the Atlanta-based investment firm Gray Financial Group and two of its executives with fraud. The SEC accused the company's top officials of steering public pension clients – including...Show More Summary

Will Another Record-Breaking Payout Reduce Corporate Crime?

On April 11, 2002, the Securities and Exchange Commission announced a record-breaking settlement with Xerox stemming from the company's alleged accounting fraud stretching back a number of years. "Such conduct calls for stiff sanctions," announced Paul Berger, then the commission's Associate Director of Enforcement, "including, in this case, the imposition [...]

SEC Votes to Gather More Info from Asset Managers in SIFI Inquest

The Securities and Exchange Commission took its first step toward assessing whether the $60 trillion asset management industry poses systemic risks. Andrew Ackerman reports for The Wall Street Journal that a regulators were unanimous in vote to gather more data from fund companies such as BlackRock (BLK) and Fidelity Investments: “The proposal includes requirements that [...]

Lynn Tilton Taking It From Both Sides

The Patriarch Partners founder is now dealing with allegations of fraud from investors, in addition to those by the Securities and Exchange Commission.

Legislator Demands Department Of Education Investigate For-Profit Chain ITT Technical Institute

Following the Securities and Exchange Commission’s decision earlier this week to file fraud charges against current and former executives with ITT Education Services – the operator of for-profit college chain ITT Technical InstituteShow More Summary

Seth Klarman's Hedge Fund Bought Stock In David Einhorn's Big Shale Oil Short

Baupost bought shares of Pioneer Natural Resources in the first quarter of 2015 and held 3,166,937 shares of the oil shale producer on March 31, according to a Securities & Exchange Commission filing that Baupost made on Friday.

Behind the Fraud Charges Against ITT Education

The Securities and Exchange Commission yesterday announced fraud charges against ITT Education Services, a for-profit company that operates career training schools. The SEC alleges that ITT executives engaged in a scheme to hide looming losses from loans the company guaranteed to students attending its colleges. Show More Summary

Student Loans Fraud; SEC Charges ITT Tech, Two Executives, With Student Loan Fraud

Student loans fraud charges have been filed by the Securities and Exchanges Commission against ITT Tech and two of its executives. According to the New York Post, ITT Technical Institute, CEO Kevin Modany and CFO Daniel Fitzpatrick are...Show More Summary

SEC says for-profit ITT college executives engaged in fraud

The U.S. Securities and Exchange Commission accused a major for-profit college company of fraud Tuesday, alleging that ITT Educational Services Inc. and two executives failed to warn investors about what it called the dismal performance of two student lending programs.

ITT Educational Services Charged With Student Loan Cover-Up

2 weeks agoNews : Huffington Post

ITT Educational Services is facing charges that it duped investors by concealing huge losses on loans made to students attending the company's for-profit colleges. A complaint filed Tuesday by the Securities and Exchange Commission alleges...Show More Summary

Shervin Pishevar and Scott Stanford’s SherpaVentures Is Raising $175M For A Second Fund

SherpaVentures, the venture fund run by Shervin Pishevar and Scott Stanford, is raising a new $175 million fund, according to a filing with the Securities and Exchange commission. This is the second fund from SherpaVentures for investing...Show More Summary

As Swiss watchmakers dismiss Apple Watch threat, Swiss National Bank increased its Apple holdings by 60%

Over the first calendar quarter of 2015, the Swiss National Bank increased its holding of Apple stock by 60 percent to 8.90 million shares, according to a U.S. Securities and Exchange Commission filing.

Fitbit files for $100 million IPO

Fitbit thinks it's finally fit for an IPO The wearable device maker filed paperwork with the Securities and Exchange Commission on Thursday to raise as much as $100 million in a public offering. It will trade on the New York Stock Exchange...Show More Summary

Altera: Holder TIG Urges Lead Director’s Removal After Refusing Intel’s ‘Golden Ticket’

Shares of Altera (ALTR) are down 54 cents, or 1.2%, at $44.07, after investor TIG Advisors today filed a form for “solicitation” with the Securities & Exchange Commission urging the company’s holders to vote down its lead independent director because the company didn’t take Intel‘s (INTC) buyout offer last month. In urging holders to vote against director [...]

Apple gearing up for sale of seven-part bond to fund share buybacks and dividends

Apple on Wednesday notified the U.S. Securities and Exchange Commission that it is planning yet another bond sale, accruing debt to fund its ongoing quarterly dividend payments and share repurchase program.

Leroy Brown goes down

Rob sends us a link to update our story about crooked-ass Leroy Brown, Junior, the financial adviser who we wrote about last week. It looks like the Securities and Exchange Commission have shut the fellow down; On April 13, 2015, the SEC obtained a temporary restraining order and emergency asset freeze against Leroy Brown, Jr. […]

Exclusive: Credit Suisse dropped SEC waiver request amid opposition - sources

By Sarah N. Lynch WASHINGTON (Reuters) - Credit Suisse has quietly withdrawn a request for a waiver to raise capital more easily, after U.S. Securities and Exchange Commission staffers told the bank in recent weeks it would not win approval, people familiar with the matter told Reuters. Show More Summary

The right way to measure CEO pay has nothing to do with 'shareholder value'

The latest initiative  by the Securities and Exchange Commission to give shareholders more information about their CEOs' pay has revived an old question: What's the right way to judge if a CEO is making too much?

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