U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission Articles
ThinkstockA new report on former employees of the Securities and Exchange Commission (SEC) who take new jobs at companies or with clients that are regulated by the commission not only documents...
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ThinkstockIn mid-December, the U.S. Securities and Exchange Commission approved a proposal by J.P. Morgan Chase & Co. (NYSE: JPM) to create an exchange traded fund backed by physical copper....
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ThinkstockSecurities and Exchange Commission problems with TheStreet Inc. (NASDAQ: TST) were worse than previously reported — much worse. According to the New York Post: TheStreet.com and three...
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courtesy of NetflixNetflix, Inc. (NASDAQ: NFLX) and company CEO Reed Hastings have received a Wells Notice from the Securities Exchange Commission, according to documents released late Thursday....
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If you have been trading or investing in stocks for more than a decade, one of the greatest changes that has taken place through time is the move from fractional pricing of shares to decimalization....
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ThinkstockThe Securities and Exchange Commission has charged four financial services firms for providing brokerage services to institutional investors in the United States. What is different about...
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Diamond Foods, Inc. (NASDAQ: DMND) has issued its restatements and shares being rewarded with fresh 52-week lows. This is becoming nothing short of a disaster. Usually we might expect that a...
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ThinkstockMolycorp, Inc. (NYSE: MCP) shares were holding up fine after earnings, but the company’s 10-Q Filing with the Securities and Exchange Commission listed an SEC investigation that went back...
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This is no case of Bernie Madoff, but the Securities and Exchange Commission has charged a former $1 billion hedge fund advisory firm and two executives with “scheming to overvalue assets under...
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Solid-state drive maker OCZ Technology Group Inc. (NASDAQ: OCZ) said today that it “cannot currently estimate the exact filing date of the Form 10-Q for the quarter ended August 31, 2012.”...
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Independent oil and gas exploration and production company Goodrich Petroleum Corp. (NYSE: GDP) said this morning that it has received notice from the U.S. Securities and Exchange Commission (SEC)...
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This might not be a Ponzi Scheme bust, but the Securities and Exchange Commission is charging a rather well known financial ‘guru.’ The SEC has charged Ray Lucia for spreading misleading...
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For some reason, Yahoo! Inc. (NASDAQ: YHOO) believed it had to file a document with the Securities and Exchange Commission explaining that the company’s new CEO Marissa Mayer and the board have...
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Diamond Foods, Inc. (NASDAQ: DMND) is facing another round of the firing squad on Wall Street this Monday. Things are bad enough that this hit yet another 52-week low. Some are saying that this is...
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Ron Burkle and his Yucaipa funds have distributed nearly 12 million shares of Barnes & Noble Inc. (NYSE: BKS) to shareholders of two of the funds, according to a filing yesterday with the SEC....
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