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  • Johnson has made her investments through Impresa Management LLC, whose key shareholders include trusts for her and two siblings, Edward C. Johnson IV and Elizabeth Johnson, according to recent disclosures with the U.S. Securities and Exchange Commission. One of its biggest holdings at the end of last year was a $353 million stake in Chinese Internet commerce...

  • FLIR Systems to settle U.S. SEC bribery charges Wednesday, 8 Apr 2015 | 11:17 AM ET

    WASHINGTON, April 8- Defense contractor FLIR Systems Inc will pay $9.5 million to settle civil charges that it violated federal bribery laws by financing a "world tour" of personal travel for government officials in the Middle East, U.S. regulators said Wednesday. The Securities and Exchange Commission said that the Oregon- based company self-reported the...

  • SEC says ex-NY Giants player ran $31M Ponzi scheme Tuesday, 7 Apr 2015 | 3:33 PM ET
    New York Giants’ cornerback Will Allen defends during a game against the Cleveland Browns in East Rutherford, N.J., Sept. 26, 2004.

    The SEC announced fraud charges against former NFL player Will Allen and a business partner, accusing them of operating a $31 million Ponzi scheme.

  • April 6- BlackRock Inc, the world's largest money manager, will close or consolidate some money-market funds as the company responds to recent regulatory reforms, the Wall Street Journal reported. BlackRock is considering changing its fund lineup to comply with rules adopted by the U.S. Securities and Exchange Commission in July, the company said in a letter to...

  • Tilton a trophy for SEC   Thursday, 2 Apr 2015 | 1:16 PM ET
    Tilton a trophy for SEC

    Billionaire Lynn Tilton told CNBC why she is suing the SEC, which is accusing her of fraud. CNBC's Robert Frank and Eamon Javers, provide insight to the events.

  • WASHINGTON, April 1- A Florida jury handed the U.S. Securities and Exchange Commission a major victory on Wednesday, after it found an investment manager tied to the Rothstein Ponzi scheme liable for fraud. The verdict comes nearly three years after the SEC charged George Levin with defrauding investors through a feeder fund that funneled money to attorney and...

  • The SEC said that the Houston- based oil services company violated a federal regulation by requiring witnesses in internal investigations to sign confidentiality agreements that warned of possible discipline if they discussed the matters with outside parties. The SEC also said since the internal investigations included allegations of securities law...

  • April 1- New York financier Lynn Tilton on Wednesday said none of her investors had raised with her the issues involved in a U.S. Securities and Exchange Commission case in which she is accused of hiding the poor performance of several funds. Tilton said in an interview on CNBC that she was "baffled" by the accusations. Earlier on Wednesday, she sued the SEC to stop it...

  • Tilton blasts SEC, casts as 'David vs. Goliath' Wednesday, 1 Apr 2015 | 1:48 PM ET
    Lynn Tilton, CEO of Patriach Partners.

    Patriarch Partners and Lynn Tilton filed a counter-suit against the SEC, claiming it violated their right to the constitution.

  • Lynn Tilton: I am equity holder of all funds   Wednesday, 1 Apr 2015 | 1:38 PM ET
    Lynn Tilton: I am equity holder of all funds

    Lynn Tilton of Patriarch Partners CEO and her firm are suing the SEC back. Tilton says she doesn't know exactly why she was targeted, and none of the investors raised these issues to her over the course of a decade.

  • Lynn Tilton: SEC mischaracterized word 'valuation'   Wednesday, 1 Apr 2015 | 1:33 PM ET
    Lynn Tilton: SEC mischaracterized word 'valuation'

    Two days after being accused by the SEC of defrauding investors, Lynn Tilton, Patriarch Partners CEO and her firm are suing back.

  • In a complaint filed in Manhattan federal court, Tilton and her firm Patriarch Partners LLC said the SEC violated the U.S. Critics of administrative proceedings, which are handled by judges on the SEC payroll, say they can be unfair to defendants because discovery is limited, defense lawyers generally cannot take depositions, and there are no juries.

  • Lynn Tilton sues SEC after regulator accuses her of fraud Wednesday, 1 Apr 2015 | 11:02 AM ET

    NEW YORK, April 1- The flamboyant New York financier Lynn Tilton and her firm Patriarch Partners LLC on Wednesday sued the U.S. Securities and Exchange Commission to stop the regulator from pursuing a case accusing them of defrauding their investors. In a complaint filed on Wednesday in Manhattan federal court, Tilton said the SEC violated the U.S.

  • Net neutrality 'jump ball': Mark Cuban   Wednesday, 1 Apr 2015 | 8:36 AM ET
    Net neutrality 'jump ball': Mark Cuban

    Mark Cuban, Dallas Mavericks owner, weighs in on net neutrality and regulating the Internet.

  • Mark Cuban raises red flag on SEC   Wednesday, 1 Apr 2015 | 8:31 AM ET
    Mark Cuban raises red flag on SEC

    Mark Cuban, Dallas Mavericks owner, shares his thoughts on the SEC's charges against Patriarch Partners CEO Lynn Tilton and its rules on insider trading.

  • WASHINGTON, March 31- The U.S. Securities and Exchange Commission charged the Silicon Valley- based technology company Polycom and its former chief executive on Tuesday over allegations they hid more than $200,000 in personal perks from investors. Polycom has agreed to settle charges over inadequate internal controls and disclosure violations and pay...

  • WASHINGTON, March 31- The U.S. Securities and Exchange Commission charged the Silicon Valley- based technology company Polycom and its former chief executive on Tuesday over allegations they hid more than $200,000 in personal perks from investors.

  • The Securities and Exchange Commission sided with Wal-Mart's assertion that it could be omitted on the grounds that it had already been "substantially implemented" in other ways by the company, according to the ruling posted on the SEC's website. "The SEC agreed that it could be excluded again this year on that basis," Wal-Mart spokesman Randy Hargrove said,...

  • Stanford's victims accused the SEC of negligence for having waited until 2009 to uncover the Ponzi scheme, despite having had evidence of it as early as 1997.. But the court said the SEC had discretion to decide how to enforce securities laws, and could not be liable for certain misrepresentations. Victims claimed that the SEC thought Stanford's business was a...

  • A lawyer for the Securities and Exchange Commission told an administrative judge in New York that the trader, Joseph Ruggieri, made more than $117,000 in profits for Wells Fargo by trading healthcare company stocks ahead of ratings changes by one of the bank's analysts. Paul Ryan, Ruggieri's lawyer, called the SEC's case circumstantial, and said the regulator...