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The U.S. Securities and Exchange Commission on Friday filed fraud charges against the former chief financial officer of Brocade Communications Systems, saying he disregarded indications other executives were backdating stock options.
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Video game publisher Take-Two Interactive Software received a "Wells" notice last week from the U.S. Securities and Exchange Commission's division of enforcement, in connection with a previously disclosed investigation into Take-Two's historical stock-option practices.
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After falling to a new low on Friday, Bernstein Biotech Analyst, Geoffrey Porges, is upgrading shares of AMGN from Market Perform to Outperform. Investors are bidding up the beaten down stock in midday trading. Bernstein makes a market in the stock.
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Beazer Homes delayed filing its June quarterly report with the Securities and Exchange Commission last Friday, due to accounting complications related to its land-development costs and costs to complete houses.
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U.S. regulators are scrutinizing the books of Wall Street's largest investment banks amid questions they are hiding losses from subprime mortgages, people familiar with the inquiry said.
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Roel C. Campos, a member of the Securities and Exchange Commission, announced Thursday that he will leave the agency next month, about three years before his second term expires.
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A day after former Brocade CEO Gregory Reyes was found guilty on all 10 securities fraud charges brought against him, dozens of Silicon Valley executives--and hundreds of executives nationwide--faced with the same allegations, will have to re-think their defense strategies. The sweeping verdict in the first-of-its-kind criminal case for the U.S. Justice Department sent a seismic ripple through this region yesterday.
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The SEC mishandled an investigation of suspicious hedge fund trading that led to the 2005 firing of an SEC attorney, a U.S. Senate report says. The report from the Senate Finance and Senate Judiciary committees, released late on Friday, ends a yearlong inquiry into the dismissal of former SEC staffer Gary Aguirre.
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One rumor on the floor that Beazer might be in trouble and -- boom -- the whole sector drops like a brick. I run around calling all the analysts I know, and one by one they say it's all unfounded -- yeah, Beazer has some issues with litigation and its lending practices, and there's that SEC investigation that was announced as "formal" last week, but overall they're in no worse position than any of the other beleaguered home builders. Their stock may be, but the company isn't.
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Cardinal Health has agreed to pay $35 million to settle charges that it engaged in nearly a four-year fraudulent revenue and earnings scheme, the U.S. Securities and Exchange Commission said on Thursday.
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The U.S. Securities and Exchange Commission said on Wednesday that it has charged the former chief executive of KLA-Tencor with fraud for his involvement in a stock options backdating scheme.
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The U.S. Securities and Exchange Commission took a step Wednesday toward considering whether U.S. companies could file their financial data using international accounting standards.
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Federal regulators are debating proposals related to shareholders gaining access to company ballots. One plan, setting a minimum level of stock ownership for the investors to get that access, has already stirred opposition from shareholder activist groups.
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As we told you here on this blog last week, Pershing Square Capital Management upped its stake in Target beyond +5%. Per the SEC regulatory filing made Monday, Bill Ackman increased his stake in TGT to 9.6% of shares outstanding.
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Whole Foods Market said Tuesday the U.S. Securities and Exchange Commission is conducting an inquiry into Web postings involving the company, whose chief executive apologized to shareholders for his anonymous posts on financial message boards.
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Federal regulators have undertaken an informal investigation in the anonymous online postings of John Mackey, the chief executive of Whole Foods Market, some of which denigrated a smaller rival grocery chain and that raise novel questions for securities watchdogs.
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The former chairman of defense contractor Engineered Support Systems and his son were charged with stock options fraud on Thursday in a widening U.S. securities investigation.
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Every deal worth a headline these days is inevitably followed by the discovery of unusual options activity. In fact, it's become so routine that when news of a deal crosses, all I have to do is pick up the phone, call an options trader, determine how abnormal the trading activity was in the days prior to the deal, and BOOM! I've got a story. Unusual options trading pre-mega deal is definitely not unusual.
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Bear Stearns' hiring of former Lehman Asset management chief Jeff Lane comes as the Securities and Exchange Commission ramps up its scrutiny of the firm's troubled subprime hedge funds that have sent jitters through the markets in recent weeks, CNBC has learned.
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The U.S. Securities and Exchange Commission has opened 12 enforcement investigations into matters surrounding collateralized debt obligations (CDO), the agency's leader told a Congressional panel.
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