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Government Agencies SEC

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  • 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.

  • Pay ratios: Who's getting named and shamed? Friday, 7 Aug 2015 | 12:56 PM ET
    David Zaslav, president and chief executive officer of Discovery Communications.

    The SEC will require companies to share a metric comparing the CEO's compensation to that of their median employee.

  • Apple spends this much to keep Tim Cook safe Friday, 7 Aug 2015 | 10:42 AM ET
    Tim Cook, chief executive officer of Apple Inc.

    Apple shells out this much money per year to keep CEO Tim Cook safe, Patently Apple reports.

  • In charging Miller, former Chief Financial Officer Paul Boyd and current Chief Operating Officer David Hall, the SEC said the inflated value helped the Knoxville, Tennessee- based company transform itself from a penny stock into a New York Stock Exchange- listed company valued in 2013 at $393 million. The SEC said Miller valued the oil and gas properties on its...

  • Aug 6- Billionaire activist investor William Ackman's hedge fund has built a $5.5 billion stake in Cadbury chocolate and Oreo cookies maker Mondelez International Inc, which could become a potential target in a consolidating food industry. Pershing Square Holdings Ltd said late on Wednesday that it intends to notify the Securities and Exchange Commission...

  • The SEC accused the defendants of steering pension funds to invest in alternative investments that they knew did not comply with Georgia law and collecting $1.7 million of extra fees. Since passage of the 2010 Dodd-Frank law, the SEC has relied on its own judges to handle more enforcement cases. In temporarily halting the Gray case, May adhered to her separate...

  • Wilmington Trust's former president, Robert Harra, 66, and former chief financial officer, David Gibson, 58, were indicted on charges including securities fraud, conspiracy, making false statements to the Federal Reserve and Securities and Exchange Commission, and making false entries in banking records. All four defendants also face SEC civil charges.

  • U.S. judge hands SEC setback over in-house judges Wednesday, 5 Aug 2015 | 2:46 PM ET

    The SEC accused the defendants of steering pension funds to invest in alternative investments that they knew did not comply with Georgia law and collecting $1.7 million of extra fees. Since passage of the 2010 Dodd-Frank law, the SEC has relied on its own judges to handle more enforcement cases. In temporarily halting the Gray case, May adhered to her separate...

  • Aug 3- Pacific Investment Management Co said on Monday it may face U.S. Securities and Exchange Commission civil charges over an exchange-traded fund once managed by prominent bond investor Bill Gross. Pimco, a unit of Germany's Allianz SE, said it received a "Wells notice" from the SEC related to its Pimco Total Return Active Exchange-Traded Fund.

  • Pimco could face SEC action over bond ETF Monday, 3 Aug 2015 | 4:52 PM ET
    PIMCO headquarters building in Newport Beach, Calif.

    The notice, which is not a formal allegation of wrongdoing, is related to a bond exchange-traded fund once managed by Bill Gross.

  • Frederick Alan Voight, 58, and his firm DayStar Funding LP agreed to pay civil penalties and return alleged illegal gains in sums to be set by a federal judge, the SEC said. The SEC said this included $13.8 million raised since October from at least 260 U.S. investors to fund InterCore's installation of its Driver Alertness Detection System, or DADS, technology in "...

  • Case for crowdfunding: Eric Cantor Friday, 31 Jul 2015 | 8:47 AM ET
    Case for crowdfunding: Eric Cantor

    Sherwood Neiss, Crowdfund Capital Advisors, and Eric Cantor, Moelis & Co. vice chair discuss the benefits of making capital available for start-ups and small businesses.

  • Cantor: Implement JOBS Act crowdfunding rule now Friday, 31 Jul 2015 | 6:39 AM ET
    Eric Cantor

    The JOBS Act crowdfunding rule is long past due and companies are withering while they wait, says Eric Cantor.

  • NEW YORK, July 30- Exchange operator BATS Global Markets plans to put a rule in place that would allow it to crack down more promptly on manipulative trading behavior on its exchanges. BATS said on Thursday its "Client Suspension Rule," which requires approval from the U.S. Securities and Exchange Commission, would allow the company to halt manipulative conduct...

  • WASHINGTON, July 29- Daniel Hawke, a 16- year veteran at the Securities and Exchange Commission who helped lead major high-profile enforcement cases against stock exchanges and brokerages, is planning to leave the agency in August, the SEC announced on Wednesday. Hawke, who heads the SEC enforcement division's market abuse unit, is a well-known figure among...

  • ZURICH, July 28- UBS said its provisions to deal with future legal tussles and regulatory run-ins stood at 2.368 billion Swiss francs in June and revealed a widening U.S. probe into bond funds sold by the Swiss bank's Puerto Rico arm. The bank said it is responding to inquiries from the Securities and Exchange Commission and the Financial Industry Regulatory...

  • LONDON, July 24- British spirits maker Diageo is under scrutiny in the United States, where the U.S. Securities and Exchange Commission has asked for information to see whether it shipped excess inventory to U.S. distributors, a practice known as "channel stuffing". A spokeswoman for Diageo, the world's biggest spirits company with brands including Smirnoff...

  • July 23- The U.S. Securities and Exchange Commission is investigating if liquor company Diageo Plc has been shipping excess inventory to distributors to boost its results, the Wall Street Journal reported, citing people familiar with the inquiry. The maker of Smirnoff vodka and Johnnie Walker whiskey confirmed that it had received an inquiry from the SEC...

  • July 23- The U.S. Securities and Exchange Commission is investigating if liquor company Diageo Plc has been shipping excess inventory to distributors to boost its results, the Wall Street Journal reported, citing people familiar with the inquiry.

  • July 23- Three former Oppenheimer& Co employees have agreed to pay civil fines and accept securities industry bans to settle U.S. Securities and Exchange Commission charges stemming from improper sales of billions of shares of penny stocks. The SEC said on Thursday the charges relate to Oppenheimer's agreement in January to pay $20 million and admit...