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Archived Latest Securities News Articles Page: 7

SEC advisory panel concerned about crowdfunding

February 1, 2012 @ 1:05 am

The Advisory Committee on Small and Emerging Companies said it needed more time to study crowdfunding, a practice it said could lead to "fraud in the extreme."...
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SEC Orders 2 Galleon Traders To Disgorge $8M

January 31, 2012 @ 3:42 pm

The U.S. Securities and Exchange Commission on Tuesday ordered two former traders who pled guilty to securities fraud in the massive insider trading case surrounding Galleon Group LLP to pay combined disgorgement of almost $8 million....
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Feds Poised To Charge Credit Suisse Traders With Fraud

January 31, 2012 @ 3:27 pm

Federal prosecutors will reportedly soon accuse several former Credit Suisse Group AG traders of misstating the value of mortgage bonds....
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NewPoint Receiver To Get $4M In BofA Settlement

January 31, 2012 @ 3:17 pm

The receiver recovering funds for victims of an alleged Ponzi scheme run by the head of NewPoint Financial Services Inc. said Tuesday that he reached a settlement with Bank of America NA that will allow him to recover more than half of the $6.86 million he sought to claw back from the bank....
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SEC Charges Brothers With Short Selling Violations

January 31, 2012 @ 1:57 pm

FOR IMMEDIATE RELEASE
2012-22

Washington, D.C., Jan. 31, 2012 – The Securities and Exchange Commission today charged two brothers living in Chicago and New York with naked short selling for failing to locate and deliver shares involved in short sales to broker-dealers.

Short sellers sell borrowed shares in hopes of profiting from declining prices. While short selling is legal, SEC rules require short sellers to locate shares to borrow before selling them short, and they must deliver the borrowed securities by a specified date. Market makers ar...
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SEC Must Decide If Nasdaq Delisting Was Racist: Judge

January 31, 2012 @ 1:57 pm

A New York federal judge on Tuesday tossed a suit filed by CleanTech Innovations Inc. claiming the organization behind Nasdaq delisted the wind energy company for racial reasons, ruling the U.S. Securities and Exchange Commission should hear the dispute....
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Witness Says BCI's Alleged Lie Led To His Investment

January 31, 2012 @ 1:56 pm

A former BCI Aircraft Leasing Inc. investor testified Tuesday that while he profited from investing with BCI, which now faces fraud charges, he never would have done so if he knew his money was not secured by specific assets as allegedly promised....
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Convicted Forex Fraudster To Pay $31M To Customers, CFTC

January 31, 2012 @ 1:29 pm

A forex trader already convicted of fraud for using sham trades to bilk investors told a Texas federal judge on Tuesday that he would pay $31 million in disgorgement and civil penalties to the U.S. Commodity Futures Trading Commission over the scheme....
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Economist offers somber warning about U.S. recovery

January 31, 2012 @ 1:21 pm

Reinhart says miles to go before economy gets back on track; 'only comparable reference point is the 1930s'...
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Finra amends complaint against David Lerner

January 31, 2012 @ 1:07 pm

David Lerner has continued to improperly pitch nontraded REITs, according to an amended complaint filed last month by the self-regulator....
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Headed to Indianapolis for the big game? Prepare for sticker shock

January 31, 2012 @ 12:44 pm

Flights to Indianapolis for the Super Bowl are pricey and admission is exorbitant, but the real shocker is what lodging is going for: The $1,333 motel room...
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German Bank Sues HSBC Over $122M In RMBS

January 31, 2012 @ 12:43 pm

DZ Bank AG, Germany's fourth largest bank, sued HSBC North America Holdings Inc. and others Tuesday in New York state court for alleged fraud in the formation and sale of more than $122 million in residential mortgage-backed securities....
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Brothers Amassed $17M From Illegal Short Selling: SEC

January 31, 2012 @ 12:37 pm

The U.S. Securities and Exchange Commission on Tuesday accused two brothers of racking up more than $17 million in illegal gains from naked short selling involving stocks such as Chipotle Mexican Grill Inc. and Fairfax Financial Holdings Ltd....
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Investors Throw Book At Education Co. K12 Over Stock Dive

January 31, 2012 @ 12:35 pm

Online education provider K12 Inc. was hit with a shareholder class action Monday in Virginia federal court alleging it deceived investors by touting revenue growth based on improper enrollment and academic assessments in its schools, after a New York Times article raised questions about its practices....
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Now, Dems iffy about universal fiduciary duty

January 31, 2012 @ 12:30 pm

Influential senator tells NAIFA a single standard should not hinder investors' ability to get advice...
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