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Government Agencies SEC

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  • The $3.4 million judgment stemmed from a 2007 lawsuit by the SEC against Olins, SpatiaLight and his wholly-owned company Argyle Capital Management Corp.. Among other claims, the SEC contended that Olins and Argyle illegally sold more than 400,000 shares of SpatiaLight stock without disclosing those sales and while making misrepresentations to investors...

  • ST. LOUIS, Aug 25- U.S. fund managers and other investment advisers would have to take steps to combat money laundering and report suspicious transactions to authorities under a long-awaited U.S. The rule would apply to investment advisers that must register with the U.S. Securities and Exchange Commission. The SEC would have authority to conduct compliance...

  • WASHINGTON— A federal appeals court has thrown out a lawsuit brought by Republican Party officials in two states challenging a federal rule that restricts campaign contributions of investment advisers. The U.S. Court of Appeals for the District of Columbia Circuit said party officials in New York and Tennessee had missed a 60- day deadline for contesting...

  • WASHINGTON, Aug 25- A U.S. appeals court handed the Securities and Exchange Commission a victory on Tuesday by dismissing a challenge from two state Republican parties to the regulator's pay-to-play rule for investment advisers. An SEC spokesperson did not immediately respond to a request for comment on the ruling. However, its three-judge panel sided with...

  • District Judge Rudolph Randa in Milwaukee that it lacked jurisdiction to hear former CEO Laurie Bebo's constitutional challenge to the SEC administrative case against her until the regulator's proceedings have concluded. SEC spokesman John Nester declined to comment. They have halted SEC administrative proceedings on the grounds that the appointment...

  • SEC spokesman John Nester declined to comment. They have halted SEC administrative proceedings on the grounds that the appointment of judges who handle them is likely unconstitutional. The SEC has pursued more enforcement cases in-house rather than in federal court, using authority it obtained through the 2010 Dodd-Frank law.

  • WASHINGTON, Aug 19- A unit of Citigroup Inc will pay $15 million to settle civil charges alleging it failed to enforce policies designed to prevent and detect insider trading, U.S. regulators said. Wednesday's settlement with the Securities and Exchange Commission marks the second time this week that Citigroup has been dinged for regulatory failures.

  • NEW YORK, Aug 18- James McCool, a longtime Charles Schwab Corp executive who most recently ran its client solutions group, has moved to a new position involving "key corporate strategic initiatives," according to a filing on Tuesday with the U.S. Securities and Exchange Commission. In November 2014, Schwab replaced Gill and John Clendening as co-heads of its retail...

  • Aug 18- JPMorgan Chase& Co is in advanced talks with U.S. regulators to pay more than $150 million to resolve allegations that it steered private-banking clients to its own products without proper disclosures, the Wall Street Journal reported, citing people familiar with the matter. U.S. Securities and Exchange Commission investigators have been examining...

  • WASHINGTON— Two Citigroup Inc. affiliates have agreed to pay $179.5 million to resolve federal regulators' charges of misleading investors in hedge funds that later collapsed. The Securities and Exchange Commission announced Monday the settlement with Citigroup Alternative Investments, a subsidiary of the bank, and Citigroup Global Markets, an...

  • WASHINGTON, Aug 17- Two units of Citigroup will pay nearly $180 million to settle financial crisis-era charges alleging they defrauded investors in two hedge funds by telling them the funds were safe, low-risk investments, U.S. regulators said Monday. The Securities and Exchange Commission said that Citigroup Global Markets Inc and Citigroup Alternative...

  • Aug 14- Warren Buffett's Berkshire Hathaway Inc on Friday said it boosted its stake in cable TV operator Charter Communications Corp, and signaled it may have another large investment planned after agreeing to buy Precision Castparts Corp in its largest-ever purchase. The changes were disclosed in a U.S. Securities and Exchange Commission filing detailing...

  • Aug 14- Warren Buffett's Berkshire Hathaway Inc has eliminated its stakes in National Oilwell Varco Inc and Phillips 66, and on Friday signaled it may have another large investment in the works. The changes were disclosed in a filing with the U.S. Securities and Exchange Commission detailing Berkshire's U.S.-listed stock portfolio as of June 30.

  • NEW YORK, Aug 14- Hedge fund Paulson& Co cut its stake in the gold-backed exchange-traded fund SPDR Gold Trust in the second quarter of 2015, after holding it unchanged for six straight quarters, a filing with the U.S. Securities and Exchange Commission showed on Friday. New York- based Paulson& Co, led by longtime gold bull John Paulson, owned 9.2 million shares worth...

  • NEW YORK, Aug 14- Soros Fund Management LLC kept its stake unchanged in the Market Vectors Gold Miners exchange-traded fund in the second quarter of 2015, and added a stake in Barrick Gold Corp, a filing with the U.S. Securities and Exchange Commission showed on Friday.

  • BOSTON, Aug 14- Top U.S. hedge funds added to their positions in Apple Inc during the second quarter, even as shares of the iPhone maker were flat during the period. Filings with the U.S. Securities and Exchange Commission released on Friday showed Philippe Laffont's Coatue Management added 860,000 Apple shares during the three months ended June 30, giving it 8.5...

  • BOSTON, Aug 14- Top U.S. hedge funds added shares of Apple Inc in the second quarter, even as shares of the iPhone maker were flat during the period. Filings with the U.S. Securities and Exchange Commission released on Friday showed Philippe Laffont's Coatue Management added about 860,000 shares of the iPhone maker during the three months ended June 30, giving it...

  • Edward Jones to pay $20 mln for overcharging muni clients Thursday, 13 Aug 2015 | 10:04 AM ET

    Aug 13- Brokerage firm Edward Jones agreed to pay $20 million to settle charges that it the former head of its municipal underwriting desk had overcharged retail customers in new muni bonds sales, the U.S. Securities and Exchange Commission said. The SEC said it was its first case against an underwriter for pricing-related fraud in the primary market for...

  • Aug 12- ITG Inc and its affiliate AlterNet Securities will pay $20.3 million to settle charges they operated a secret trading desk and misused the confidential trading information of dark pool subscribers, the U.S. Securities and Exchange Commission said on Wednesday. ITG agreed to admit wrongdoing and pay a penalty of $18 million, the largest levied by the...

  • SAN FRANCISCO, Aug 10- Federal authorities in Brooklyn and Newark are planning to announce indictments Tuesday in a rare case tying together hacking and stock market trades. The Securities and Exchange Commission, Federal Bureau of Investigation and Secret Service have all been involved in the matter, a person familiar with the probe told Reuters.