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Federal prosecutors and officials from the Federal Bureau of Investigation and the Securities and Exchange Commission were investigating instances of Mr. Rajaratnam receiving confidential Intel sales data from a then-employee, Roomy Khan. Full Article at Gainesville Sun
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FAREWELL TO CONTINGENCY FEES. THIS GOLDEN AGE of financial fraud has opened up a new vein of capital for lawyers. Full Article at Barron's Online
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The high court will hear oral arguments in the case on Monday, and Beckstead's attorneys hope to get a ruling by July. The board, which is appointed by the Securities and Exchange Commission, was set up under the Sarbanes-Oxley Act of 2002. Full Article at Las Vegas Review-Journal | LVRJ.com
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A La Jolla company bamboozled investors out of $2.3 million with promises of a new technology that would covert coal into green fuels and make trillions of dollars, federal officials alleged yesterday. Full Article at San Diego Union-Tribune
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Originally published December 5, 2009 at midnight, updated November 9, 2009 at 12:40 p.m. PaxVax, a San Diego startup backed by Seattle’s Ignition Capital, has raised $2 million of a planned $6 million investment round, according to a document filed... Full Article at San Diego Union-Tribune
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Federal officials are investigating possible ties between CalPERS' former chief executive, a controversial former board member and a financier who just pleaded guilty in a New York pension fund corruption case. Full Article at Sacramento Bee
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WASHINGTON — The Securities and Exchange Commission culture that allowed the Madoff fraud scandal to go undetected for nearly two decades may not change, and the agency isn't doing enough to support investor protection proposals in Congress, a top... Full Article at Houston Chronicle
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WASHINGTON - The Securities and Exchange Commission culture that allowed the Madoff fraud scandal to go undetected for nearly two decades may not change, according to a top state regulator. Full Article at SGVTribune.com
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Eyes reddened and jaws clenched among investors who attended a federal court hearing in Minneapolis on Friday, when an attorney with the U.S. Securities and Exchange Commission (SEC) said that it looks as though they will get just 2 cents to 3 cents on... Full Article at Minneapolis Star Tribune
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SANTA ANA — After being granted full immunity from a federal judge this week because of prosecutorial misconduct, Broadcom Corp.'s former general counsel testified today the Irvine company's former chief financial officer was not involved in a... Full Article at The Orange County Register
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WASHINGTON - The Securities and Exchange Commission culture that allowed the Bernard Madoff fraud scandal to go undetected for nearly two decades may not change and the agency isn't doing enough to support investor protection proposals in Congress,... Full Article at Daily Breeze
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In recent days, numerous credible news media outlets have reported on what the UBS whistleblower, Bradley Birkenfeld, may make as a result of turning-in his former employer, the Zurich, Switzerland-headquartered bank, UBS AG. Full Article at Forbes
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WASHINGTON — The culture at the Securities and Exchange Commission that allowed financier Bernard Madoff's fraud to go undetected for almost two decades might not change, and the agency isn't doing enough to support investor protection proposals in... Full Article at Austin American-Statesman
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WASHINGTON (AP) - The Securities and Exchange Commission culture that allowed the Madoff fraud scandal to go undetected for nearly two decades may not change and the agency isn't doing enough to support investor protection proposals in Congress,... Full Article at KIVITV.com
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The Company's actual future results and trends may differ materially depending on a variety of factors discussed in the Company's filings with the Securities and Exchange Commission. Full Article at Street Insider
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TONTITOWN, Ark. , Dec. 4, 2009 (GLOBE NEWSWIRE) -- P.A.M. Transportation Services, Inc. Full Article at Street Insider
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WASHINGTON (AP) - The Securities and Exchange Commission culture that allowed the Madoff fraud scandal to go undetected for nearly two decades may not change. So says Texas Securities commissioner Denise Voigt Crawford. Full Article at KLTV
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Austin-based Open Labs, a developer of computer music keyboards, received the funding from nine investors, according to a filing with the U.S. Securities and Exchange Commission. CEO Hank Coleman couldn’t be reached for comment. Full Article at Austin Business Journal
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WASHINGTON (AP) - The Federal Reserve has expanded the field of credit rating agencies that determine the eligibility of securities pledged for loans in a government program aimed at sparking more consumer and business lending. Full Article at KIVITV.com
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The Company has agreed to settle with the SEC, without admitting or denying the allegations in the SEC’s complaint, by consenting to the entry of a permanent injunction against future violations of the federal securities laws that require reporting... Full Article at Freshnews.com
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WASHINGTON - SEPTEMBER 30: Securities and Exchange Commission (SEC) Chair Mary Schapiro listens during a public roundtable meeting at the headquarters of SEC September 30, 2009 in Washington, DC. The meeting was to discuss possible measures to limit the short selling of stocks.
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Getty Images
WASHINGTON - SEPTEMBER 30: Securities and Exchange Commission (SEC) Chair Mary Schapiro speaks during a public roundtable meeting at the headquarters of SEC September 30, 2009 in Washington, DC. The meeting was to discuss possible measures to limit the short selling of stocks.
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Getty Images
WASHINGTON - SEPTEMBER 30: Securities and Exchange Commission (SEC) Chair Mary Schapiro (L) listens during a public roundtable meeting at the headquarters of SEC September 30, 2009 in Washington, DC. The meeting was to discuss possible measures to limit the short selling of stocks.
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Getty Images
WASHINGTON - SEPTEMBER 30: Securities and Exchange Commission (SEC) Chair Mary Schapiro speaks during a public roundtable meeting at the headquarters of SEC September 30, 2009 in Washington, DC. The meeting was to discuss possible measures to limit the short selling of stocks.
View Photo » -
Getty Images
WASHINGTON - SEPTEMBER 30: Securities and Exchange Commission (SEC) Chair Mary Schapiro listens during a public roundtable meeting at the headquarters of SEC September 30, 2009 in Washington, DC. The meeting was to discuss possible measures to limit the short selling of stocks.
View Photo » -
Getty Images
WASHINGTON - SEPTEMBER 30: Securities and Exchange Commission (SEC) Chair Mary Schapiro (L) listens during a public roundtable meeting at the headquarters of SEC September 30, 2009 in Washington, DC. The meeting was to discuss possible measures to limit the short selling of stocks.
View Photo » -
Getty Images
WASHINGTON - SEPTEMBER 30: Securities and Exchange Commission (SEC) Chair Mary Schapiro speaks during a public roundtable meeting at the headquarters of SEC September 30, 2009 in Washington, DC. The meeting was to discuss possible measures to limit the short selling of stocks.
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AP Photo
Securities and Exchange Commission (SEC) Inspector General David Kotz testifies on Capitol Hill in Washington, Thursday, Sept. 10, 2009, before the Senate Banking Committee hearing regarding Bernard Madoff.
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AP Photo
Securities and Exchange Commission (SEC) Inspector General David Kotz testifies on Capitol Hill in Washington, Thursday, Sept. 10, 2009, before the Senate Banking Committee hearing regarding Bernard Madoff.
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AP Photo
SEC coordinator of officials, Rogers Redding, talks about new rules at the Southeastern Conference football Media Days in Hoover , Ala. on Thursday, July 23, 2009.
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Getty Images
Securities and Exchange Commission (SEC) Chairwoman Mary Schapiro (L) and Commodity Futures Trading Commission Chairman Gary Gensler testify before the Senate Banking sub-committee hearing on 'Over-the-Counter Derivatives Oversight' on June 22, 2009 on Capitol Hill in Washington.
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AP Photo
Securities and Exchange Commission (SEC) Chair Mary Schapiro speaks about executive compensation, Wednesday, June 11, 2009, at the Treasury Department in Washington.
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Reuters Pictures
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar answers a reporter's question during the Reuters Global Financial Regulation Summit in Washington April 29, 2009.
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Reuters Pictures
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar listens to a reporter's question during the Reuters Global Financial Regulation Summit in Washington April 29, 2009.
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Reuters Pictures
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar pauses while answering a reporter's question during the Reuters Global Financial Regulation Summit in Washington April 29, 2009.
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Reuters Pictures
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar answers a reporter's question during the Reuters Global Financial Regulation Summit in Washington April 29, 2009.
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Reuters Pictures
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar answers a reporter's question in his office during the Reuters Global Financial Regulation Summit in Washington April 29, 2009.
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Reuters Pictures
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar answers a reporter's question in his office during the Reuters Global Financial Regulation Summit in Washington April 29, 2009.
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AP Photo
In this March 11, 2009 file photo, Securities and Exchange Commission (SEC) Chairman Mary Schapiro, testifies on Capitol Hill in Washington.
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AP Photo
In this March 11, 2009 file photo, Securities and Exchange Commission (SEC) Chairman Mary Schapiro, testifies on Capitol Hill in Washington.
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AP Photo
Securities and Exchange Commission (SEC) Chair Mary Schapiro, testifies on Capitol Hill in Washington, Wednesday, March 11, 2009, before the House Appropriations subcommittee hearing on the SEC and the financial crisis.
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AP Photo
Securities and Exchange Commission (SEC) Chair Mary Schapiro, testifies on Capitol Hill in Washington, Wednesday, March 11, 2009, before the House Appropriations subcommittee hearing on the SEC and the financial crisis.
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AP Photo
Securities and Exchange Commission (SEC) Division of Enforcement Director Linda Thomsen testifies on Capitol Hill in Washington, Tuesday, Jan. 27, 2009, to testify before the Senate Banking Committee hearing on Bernard Madoff.
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AP Photo
Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations Director Lori Richards, testifies on Capitol Hill in Washington, Tuesday, Jan. 27, 2009, to testify before the Senate Banking Committee hearing on Bernard Madoff.
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AP Photo
Securities and Exchange Commission (SEC) Director, Office of Compliance Inspections and Examinations, Lori Richards, arrives on Capitol Hill in Washington, Tuesday, Jan. 27, 2009, to testify before the Senate Banking Committee hearing on Bernard Madoff.
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Getty Images
WASHINGTON - SEPTEMBER 30: Securities and Exchange Commission (SEC) Chair Mary Schapiro speaks during a public roundtable meeting at the headquarters of SEC September 30, 2009 in Washington, DC. The meeting was to discuss possible measures to limit the short selling of stocks.
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The Securities and Exchange Commission in Nigeria, the regulator of the capital market, has the responsibility to ensure the stability of the system and a duty to safeguard the interest of investors and other stakeholders
SOURCE: AllAfrica.com -
We should employ a presumption that a derivative contract that is accepted for clearing by one or more clearinghouses, and approved by the Commodity Futures Trading Commission or Securities and Exchange Commission, must be centrally cleared by all
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We need to strengthen our financial market oversight bodies -- the (Securities and Exchange Commission) and the CFTC (Commodity Futures Trading Commission -- to give them needed authorities over the currently opaque OTC markets, and we need to find the right balance of powers between federal financial o...
SOURCE: Reuters -
Everything will remain as it is. They’ll be making the appropriate disclosures to the Securities and Exchange Commission and the Nevada Gaming Control Board.
SOURCE: Las Vegas Sun -
As these holding companies and their subsidiaries, such as the New York Stock Exchange or the Chicago Mercantile Exchange, are currently comprehensively regulated by the Securities and Exchange Commission and the CFTC, Congress may wish to clarify if they should be included in the Federal Reserve's prud...
SOURCE: Reuters -
We're not divulging any of the details outside of the main number that's in the [US Securities and Exchange Commission (SEC)] filing, but there will be a minor impact on Asia-Pacific
SOURCE: NetworkWorld -
In his latest note to investors Monday, Robert Cihra, analyst with Caris & Company, noted that Apple's most recent Form 10-K filing with the U.S. Securities and Exchange Commission has called for a major $1.9 billion in capital expenditures during the 2010 fiscal year
SOURCE: MacDailyNews -
The Securities and Exchange Commission should be very interested in any financial company that secretly decides a financial product is a loser and then goes out and actively markets that product or very similar products to unsuspecting customers without disclosing its true opinion
SOURCE: Biloxi Sun Herald -
The definitive proxy statement has been filed with the Securities and Exchange Commission for our 2009 Annual Meeting of Stockholders and I encourage stockholders to review the filing and vote on the proposals
SOURCE: RedOrbit -
Galleon and New Castle bought AMD shares in hopes of profiting when the deal was announced, according to the criminal complaint and a civil action by the Securities and Exchange Commission
SOURCE: The Big Money -
When the true facts are known, the court will see that Mr. Picower was deceived by Bernard L. Madoff like the (U.S. Securities and Exchange Commission) and thousands of other investors
SOURCE: Palm Beach Post -
The Securities and Exchange Commission has hired a 29-year-old Goldman Sachs alumnus as managing executive of its enforcement division.
SOURCE: FRC Blog -
We're here because the defendant lied to the Securities and Exchange Commission, lied to Broadcom accountants, and most importantly, lied to Broadcom's investors, and there were thousands of them
SOURCE: The Orange County Register -
The people who could change the way servicers are doing business – Congress, the Administration, and the Securities and Exchange Commission – and the market participants who set the terms of engagement – credit rating agencies and bond insurers – have failed to provide servicers with the necessary incen...
SOURCE: YubaNet -
The Securities and Exchange Commission will investigate whether anybody intended to cause trouble in the trading, which is illegal
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The placement agent industry has been a focus of state authorities and the Securities and Exchange Commission over the last year, and we believe it prudent to conduct a full review of the matters related to these recent disclosures to us
SOURCE: Los Angeles Times -
Mark and Andrew Madoff had no prior knowledge of Bernard Madoff's crimes and contacted the U.S. Department of Justice and the SEC (Securities and Exchange Commission) immediately after their father told them he had defrauded his investment advisory clients
SOURCE: USA Today -
We now know there were five guys from these investment banks, Goldman Sachs and Hank Paulson [former Treasury Secretary and former CEO of Goldman] involved, who went to Christopher Cox, Chairman of the Securities and Exchange Commission, and said `we don’t need any reserves requirements [on derivatives]...
SOURCE: National Post -
A team of the US capital market regulator, Securities and Exchange Commission, has also completed its probe in India into the multi-crore fraud case. The SEC team held discussions with the investigating CBI officials. Officials from both sides also discussed the role of auditors in the scam
SOURCE: Asian Age -
We are already working with the Securities and Exchange Commission (SEC), the Nigerian Stock Exchange (NSE), Nigeria Deposit Insurance Corporation, Nigeria Financial Intelligence Unit and National Insurance Commission on inter-agency cooperation on the implementation of consolidated supervision for the ...
SOURCE: AllAfrica.com -
We have at all times operated, and will continue to operate in full compliance with the rules and regulations of the Securities and Exchange Commission
SOURCE: ProPublica -
Treasury's proposal would retain the SEC's anti-fraud authority over all securities-related swaps, but unfortunately does not currently provide the tools needed to adequately police all these swaps
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