Stay tuned for more to come. The SEC last Monday launched the first enforcement actions brought against U.S. companies for violating Regulation Fair Disclosure, a two-year-old law requiring companies to release financial information to the public a Stay tuned for more to come. The...
The regulatory spotlight is on variable annuity exchanges, as evidenced by three recent enforcement actions taken by the Securities and Exchange Commission. The regulatory spotlight is on variable annuity exchanges, as evidenced by three recent enforcement actions taken by the Securities and Exchange...
Byline: Sara Hansard and Rick Miller The Securities and Exchange Commission is going to have a tough time getting state regulators to take a backseat on setting national policies as part of their enforcement actions. That...
GULF INSURANCE COMPANY Contact: John McElroy Address: 125 Broad Street City: New York ST: NY Zip: 10004 Phone: 212-291-3080 Fax: 212-291-3017 Email: jmcelroy@gulfins.com ...
Division of Enforcement Decides not to Recommend an Action ST. PETERSBURG, Fla. -- As previously disclosed, the Securities and Exchange Commission (the "SEC") notified Jabil Circuit, Inc. (NYSE:JBL), a global electronic product solutions company, on May 2, 2006 of the SEC's inquiry concerning Jabil's historical stock option grant...
Companies Filing for Bankruptcy More Likely to Face SEC Enforcement Related to Fraud NEW YORK, Nov. 24 /PRNewswire/ -- According to a new study published by the Deloitte Forensic Center, "Ten Things About Bankruptcy and Fraud," companies filing for bankruptcy protection are three times more likely than...
On behalf of Mark Cuban NEW YORK, Nov. 17 /PRNewswire/ -- Mark Cuban today responded to a civil complaint filed by the United States Securities and Exchange Commission in the United States District for the Northern District of Texas, Dallas Division. In its complaint, the Commission...
ATLANTA -- TurboChef Technologies, Inc. (NASDAQ-GM: OVEN) today announced that it has been advised by the Securities and Exchange Commission staff it has completed its previously announced investigation of TurboChef's stock option grants and practices and it does not intend to recommend any enforcement action by the Commission. ...
NERA Study and Additional SEC Settlements and Shareholder Trends and Data Available on New Website: www.SecuritiesLitigationTrends.com NEW YORK -- Securities and Exchange Commission SECenforcement action settlements are projected to reach a three-year high in 2008, continuing a dynamic period of SEC enforcement since the enactment of Sarbanes-Oxley...
WASHINGTON -- An administrative law judge at the Securities and Exchange Commission on Friday rebuffed a request for disciplinary action against an SEC official in connection with an investigation of investment bank Bear Stearns. The SEC's chief administrative law judge, Brenda Murray, also declined to order the...
COPPELL, Texas -- Mannatech, Incorporated ("Mannatech") (NASDAQ: MTEX), a leading developer and provider of dietary supplements and skin care solutions, today announced that the Staff of the Division of Enforcement (the "Staff") of the United States Securities and Exchange Commission (the "SEC") has notified Mannatech that it has completed its...
NEW YORK & LONDON -- Temporary changes in mark-to-market MtoM pricing procedures, resulting from the extreme market dislocations and illiquidity, may alleviate net asset value NAV pressures facing money market funds but do not entirely mitigate potential asset illiquidity or redemption risk, according to Fitch Ratings. On Oct....
Firm Establishes Task Force to Assist Financial Industry WASHINGTON & NEW YORK -- Bracewell & Giuliani LLP today announced that it has formed a multi-disciplinary Task Force to guide financial institutions, private investment funds, institutional investors and other market participants through the legislative, regulatory and enforcement challenges posed...
WASHINGTON -- Davis Polk & Wardwell today announced that former US Securities and Exchange Commissioner Annette Nazareth has joined the firm as a partner in its Washington, DC office. Ms. Nazareth will practice in the firm's Financial Institutions Group, advising clients across a broad range of complex regulatory matters and...
MILFORD, Mass. -- SeraCare Life Sciences, Inc. (NASDAQ: SRLS) (the "Company") today announced that it has been notified by the Securities and Exchange Commission SEC that the SEC has completed its investigation of the Company and does not intend to recommend any enforcement action against the Company. The investigation was...
Natural Health Trends Corp. (NASDAQ: BHIP), aninternational direct-selling and e-commerce company, announced today thatthe Securities and Exchange Commission has completed a previously disclosedinvestigation of the Company and others that was initiated in October 2006.The SEC's staff notified the Company by letter dated September 12, 2008,that they do not intend to...
TEMPE, Ariz. -- Insight Enterprises, Inc. (the "Company") (NASDAQ: NSIT), a leading, global provider of technology solutions, today announced that it has been notified by the staff of the Securities and Exchange Commission (the "SEC") that the SEC's investigation into the Company's stock option grant practices has been completed and...
WASHINGTON AFP — US regulators and ten stock exchanges, including the New York Stock Exchange NYSE, have forged a new alliance to clamp down on illegal insider trading, the Securities and Exchange Commission announced Wednesday. The SEC said the non-government Financial Industry Regulatory Authority FINRA and the ten...
SAN ANTONIO -- Integrative Health Technologies, Inc. ("IHTI") (Pink Sheets: IHTI) is pleased to announce that it has been advised by SEC staff that they are recommending that no enforcement action be taken against IHTI for alleged violations of the Investment Company Act (the "Act") when it elected to report...
WASHINGTON AFP — US banking giant Citigroup has forged a settlement with federal regulators and New York state authorities related to the marketing of billions of dollars of complex debt securities, US media reported Thursday. The settlement is expected to come on the heels of an investigation by...
Articles 2008-08-07
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