Securities

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Latest News in Securities

  • August 16, 2017

    Facebook Says Video Data Correction Was Mistake, Not Fraud

    Facebook Inc. urged a California federal judge Tuesday to throw out a shareholder suit accusing the social media giant of intentionally reporting wrong video advertising information, saying the suit was over a mistake, not securities fraud.

  • August 16, 2017

    Ex-Bankrate Execs Settle SEC's Accounting Scheme Claims

    A New York federal court on Wednesday signed off on settlements between the U.S. Securities and Exchange Commission and two former Bankrate Inc. executives in a suit accusing them of improperly inflating earnings to meet analysts’ predictions for the personal finance information company.

  • August 16, 2017

    DC Atty Says SEC Suit Over Brother's Scheme Is 'Flawed'

    A Washington, D.C., lawyer-turned-real estate agent whom the U.S. Securities and Exchange Commission has accused of helping out with her brother’s $14.5 million Ponzi scheme asked a Massachusetts federal judge on Tuesday to toss the agency’s complaint, calling it “fatally flawed.”

  • August 16, 2017

    Insurers Say Kokesh Means JPMorgan Can't Get $300M

    Insurers looking to get out of paying roughly $300 million to JPMorgan Chase & Co. for settlement costs that Bear Stearns paid in a U.S. Securities and Exchange Commission deal asked a New York state judge Wednesday to revive the lawsuit they lost, citing the U.S. Supreme Court’s recent finding in Kokesh that disgorgement is a penalty.

  • August 16, 2017

    Compliance Adviser Settles SEC Case For $30K, Suspension

    A North Carolina compliance consultant has struck a deal to resolve U.S. Securities and Exchange Commission allegations that his work as chief compliance officer for two investment advisory firms led to their failure to file timely and accurate disclosure reports, the agency said Tuesday.

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