GO
Loading...

Enter multiple symbols separated by commas

SEC

More

  • JPMorgan gets SEC subpoenas over mutual fund sales Wednesday, 6 May 2015 | 5:11 AM ET

    May 6- JPMorgan Chase& Co said it has received subpoenas from the U.S. Securities and Exchange Commission over how it sells its mutual funds. Other government authorities and a self-regulatory organization, apart from the SEC, are also seeking information about the bank's use of proprietary products in its wealth-management business, JPMorgan said in a...

  • May 5- The U.S. Securities and Exchange Commission on Tuesday sued three defendants it accused of running a fraud and Ponzi scheme in which they raised more than $62 million from investors eager to benefit from growth in the North Dakota oil industry. According to the SEC, North Dakota Developments LLC and its owners, Robert Gavin and Daniel Hogan, illegally...

  • NEW YORK, May 5- JPMorgan Chase& Co said on Tuesday it is in "advanced stages" of settlement talks with the U.S. Department of Justice and Federal Reserve over previously disclosed investigations into its foreign exchange trading. The company gave the description of the talks in a quarterly filing with the U.S. Securities and Exchange Commission on Tuesday.

  • The SEC has ramped up its use of the in-house court since 2010 when the Dodd-Frank law empowered the commission to seek penalties against a broader array of defendants through administrative proceedings. In administrative trials, an SEC judge presides over the hearing. Defendants in SEC cases have been pushing back against the increased use of the in-house...

  • Starboard Value says it bought 4M shares of Brink's Monday, 4 May 2015 | 5:05 PM ET

    Starboard Value disclosed ownership of almost 4 million shares in a form filed with the Securities and Exchange Commission on Monday. Starboard Value LP started buying shares of the Richmond, Virginia- based company March 10. Starboard Value has pushed Internet giant Yahoo to make big changes, including spinning off some businesses, and in 2014 it took control...

  • He's also more highly paid than the chief executive of Southwest, who was recently touted by Fortune magazine as the most underrated for any industry. He also got options valued at $3.8 million, $3.1 million in incentives, a $790,625 salary and nearly $300,000 in perks, according to a filing with the Securities and Exchange Commission. Anderson was more richly...

  • Speaking at conference at Northwestern University's School of Law, White stopped short of saying whether the agency was investigating the issue, but strongly implied that the SEC is not happy about these tactics. Created by the 2010 Dodd-Frank Wall Street reform law, the program lets the SEC dole out cash awards that range between 10 percent and 30 percent of...

  • SEC pushes for display of link between pay and performance Wednesday, 29 Apr 2015 | 11:48 AM ET

    WASHINGTON— Federal regulators have taken a step toward requiring public companies to show the relationship between the compensation of their top executives and the company's financial performance. The 3-2 vote Wednesday by the Securities and Exchange Commission on the so-called "pay for performance" rules follows a 2013 proposal that would require...

  • District Judge Katherine Forrest in Manhattan said the claims raised against Nasdaq, Intercontinental Exchange Inc's New York Stock Exchange, BATS Exchange and other exchanges must be reviewed first by the U.S. Securities and Exchange Commission, not the courts. Forrest, however, said Congress created a "comprehensive federal regulatory scheme" empowering...

  • WASHINGTON, April 28- An environmental group and a law clinic have petitioned the U.S. Securities and Exchange Commission to investigate whether Royal Dutch Shell has adequately disclosed to investors the risks of oil exploration in Arctic waters, the groups said on Tuesday. While catastrophic oil spills are rare, one in the Arctic could cost $10 billion or...

  • WASHINGTON, April 28- An environmental group and a law clinic petitioned the U.S. Securities and Exchange Commission to investigate whether Royal Dutch Shell has adequately disclosed to investors the risks of oil exploration in the harsh Arctic waters, the groups said on Tuesday. Oceana, an international environmental group, and the Abrams Environmental Law...

  • SEC probes customer protection violation by BofA Tuesday, 28 Apr 2015 | 9:53 AM ET
    A Bank of America sign is displayed at the entrance of a branch in New York.

    The SEC is investigating whether Bank of America violated customer-protection rules, the Wall Street Journal reported.

  • April 28- The Securities and Exchange Commission is investigating whether Bank of America Corp violated customer-protection rules and put retail-brokerage funds at risk to increase profits, the Wall Street Journal reported, citing people familiar with the matter. Bank of America stopped the strategy in 2012. However, from 2009 to 2012, it completed...

  • April 28- The Securities and Exchange Commission is investigating whether Bank of America Corp violated customer-protection rules and put retail-brokerage funds at risk to increase profits, the Wall Street Journal reported, citing people familiar with the matter. Bank of America stopped the strategy in 2012. However, from 2009 to 2012, it completed...

  • Groups want review of Shell's Arctic regulatory filings Tuesday, 28 Apr 2015 | 12:43 AM ET

    ANCHORAGE, Alaska— Two groups petitioned the U.S. Securities and Exchange Commission on Monday for an investigation of Royal Dutch Shell PLC and what the groups call misstatements in regulatory filings regarding the risk of a catastrophic oil spill from Arctic offshore drilling. The petition was filed Monday by Oceana and the Abrams Environmental Law...

  • HARTFORD, Conn.— United Technologies Corp. says it's been subpoenaed by the Securities and Exchange Commission seeking documents related to alleged violations of anti-bribery laws. United Technologies says it's cooperating fully. In December 2013 and January 2014, United Technologies disclosed to U.S. and British authorities the status of its internal...

  • Issues surrounding General Motors Co.' s recall of 36 million vehicles worldwide last year for safety issues continue to haunt the company. —87: Number of deaths compensation expert Kenneth Feinberg has determined are eligible for compensation. In addition, the U.S. Attorney's Office, Congress, Securities and Exchange Commission, and Canadian safety...

  • BofA questions judge's impartiality in fraud appeal Thursday, 23 Apr 2015 | 9:39 AM ET

    Bank of America asked a court to toss a penalty imposed in a mortgage fraud case, and asked that the judge who oversaw its trial be replaced.

  • America’s highest paid CEO: It’s not who you think Tuesday, 21 Apr 2015 | 8:26 AM ET
    Nick Woodman, founder and chief executive officer of GoPro Inc.

    It's 39-year-old Nick Woodman, the CEO of camera-maker GoPro. The Fiscal Times reports.

  • Securities and Exchange Commission Administrative Law Judge Jason Patil delivered the warning to SEC lawyers after hearing arguments in a civil proceeding against Joseph Ruggieri. Ruggieri, who traded healthcare stocks for Wells Fargo, is accused by the SEC of unlawfully trading on tips about imminent upgrades and downgrades in the ratings of various...