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Government Agencies SEC

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  • SEC probes activist collusion: Report Friday, 5 Jun 2015 | 6:45 AM ET
    SEC probes activist collusion: Report

    The Wall Street Journal reports the SEC wants to know if security rules were violated and sent requests to a number of hedge funds.

  • June 4- The U.S. Securities and Exchange Commission is investigating whether some activist investors secretly acted jointly to target companies, one hedge fund industry source said. The SEC's enforcement division recently opened multiple investigations and sent requests for information to a number of hedge funds, The Wall Street Journal reported earlier,...

  • NEW YORK, June 4- The U.S. Securities and Exchange Commission is investigating allegations that Andrew Liveris, chairman and chief executive officer of industrial giant Dow Chemical Co, misused company funds for personal benefit, according to people familiar with the matter. It is not clear whether the SEC investigation is limited to the spending allegations...

  • Activist investors work together? SEC wants to know Thursday, 4 Jun 2015 | 6:14 PM ET
    SEC Securities and Exchange Commission

    The SEC is reportedly probing whether funds run by some activist investors worked together without disclosing their partnerships.

  • June 4- The U.S. Securities and Exchange Commission is investigating whether some activist investors teamed up to target companies without disclosing their alliances, the Wall Street Journal said. The SEC's enforcement division has recently opened multiple investigations and sent requests for information to a number of hedge funds, the Journal said,...

  • The U.S. Securities and Exchange Commission sued Nedko Nedev, 37, of Sofia, Bulgaria, and several corporate defendants in Manhattan federal court, after a firm calling itself PTG Capital Partners offered on May 14 to buy Avon for $18.75 per share, a 181 percent premium. According to the SEC, Nedev and others tried to manipulate prices of Avon, Rocky Mountain...

  • SEC files lawsuit over alleged fake Avon offer Thursday, 4 Jun 2015 | 1:35 PM ET
    Avon Products Inc.

    The U.S. Securities and Exchange Commission filed a lawsuit over an alleged fake offer to buy Avon Products.

  • According to the SEC, Nedev and others tried to manipulate the prices of Avon, Rocky Mountain Chocolate Factory Inc and Tower Group International Ltd by filing false tender offers on its public Edgar database, and issuing fraudulent press releases. Meanwhile, the SEC said the share price of Tower Group rose 32 percent on May 13, 2014 after a fraudulent press...

  • SEC's revolving door good for government: Gallagher Thursday, 4 Jun 2015 | 12:23 PM ET
    Daniel Gallagher

    Conservative SEC Commissioner Daniel Gallagher tells CNBC a revolving door between the agency and Wall street benefits the government.

  • SEC sues over alleged hoax Avon, Rocky Mountain bids Thursday, 4 Jun 2015 | 12:10 PM ET

    NEW YORK, June 4- The U.S. Securities and Exchange Commission on Thursday accused a Bulgarian man and several corporate defendants of submitting bogus takeover bids for Avon Products Inc and two other companies to fraudulently drive up their share prices. In a complaint filed in federal court in Manhattan, the SEC accused Nedko Nedev and the other defendants of...

  • SEC suing after alleged fake Avon bids Thursday, 4 Jun 2015 | 11:48 AM ET
    SEC suing after alleged fake Avon bids

    The SEC is filing a lawsuit over the alleged fake offer to buy Avon Products, reports CNBC's Sue Herera.

  • Congress gave SEC 'impossible task': Daniel Gallagher Thursday, 4 Jun 2015 | 8:36 AM ET
    Congress gave SEC 'impossible task': Daniel Gallagher

    Daniel Gallagher, SEC commissioner, weighs in on Mary Jo White's leadership, the SEC agenda, and the Dodd-Frank Act.

  • Senate Banking Committee lawyer has emerged as the leading candidate for a Republican seat on the Securities and Exchange Commission, Bloomberg reported. Bloomberg reported last month that Gallagher was expected to resign from the SEC but would remain on the job until a replacement was named by the White House. Peirce is a well-known critic of the...

  • Bruised, Herbalife swings back at an accuser Wednesday, 3 Jun 2015 | 3:20 PM ET
    About 4,000 Herbalife members waved signs and cheered Herbalife executives in a rally to support the company on March 25, 2015 in Los Angeles.

    After facing continued accusations from investor Bill Ackerman, Herbalife is getting the FBI and SEC involved to fight back. The NYT reports.

  • Senator Warren slams SEC chair in letter Wednesday, 3 Jun 2015 | 12:46 PM ET
    Warren letter slams White

    Massachusetts Senator Elizabeth Warren criticized the SEC Chair Mary Jo White's leadership, reports CNBC's Eamon Javers.

  • Senator Elizabeth Warren issued a scathing critique of Securities and Exchange Commission Chair Mary Jo White, citing delays in executive pay rules and inadequate enforcement, in the lawmaker's latest jab at the Obama administration's financial policies. White said she was proud of her work, saying the SEC has advanced more than 30 congressionally...

  • Senator Elizabeth Warren issued a scathing critique of Securities and Exchange Commission Chair Mary Jo White, citing executive pay rule delays and inadequate enforcement in the lawmaker's latest swing against the Obama administration's financial policies. In response, White said she was proud of her work, saying the SEC has advanced more than 30...

  • Bolan, because it ends the SEC case against him while permitting him to go back to work immediately, "he said. The settlement was reached on the eve of a trial before an SEC administrative law judge over charges the SEC first leveled against Bolan and Ruggieri in September. The SEC had alleged that Ruggieri, who worked at Wells Fargo in New York, in 2010 and 2011 traded...

  • May 28- Alpha Natural Resources Inc must pay for the legal defense of Donald Blankenship, who is facing a criminal trial over a coal mining disaster in 2010, when he headed Alpha's Massey Energy Co business, a Delaware judge ruled on Thursday. The indictment also said that after the explosion, he misled the U.S. Securities and Exchange Commission about Massey's...

  • WASHINGTON, May 28- Andrew J. "Buddy" Donohue has agreed to return to the U.S. Securities and Exchange Commission to serve as the chief of staff for SEC Chair Mary Jo White, the agency said on Thursday. Donohue, currently a managing director at Goldman Sachs Group Inc, is a very familiar face both within the SEC and in the investment management industry.