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Latest News in Securities

  • February 17, 2017

    Jury Finds Man Traded On Inside Info About Sanofi Deal

    A Georgia federal jury found against one man and cleared another Friday after the Securities and Exchange Commission accused them of raking in $550,000 by trading on inside information about a pending acquisition by Sanofi Aventis SA in 2009.

  • February 17, 2017

    DOL Notches Win Against Insurer's Fiduciary Rule Challenge

    A Kansas federal judge on Friday sided with the U.S. Department of Labor in upholding a new fiduciary rule for retirement account advisers related to fixed indexed annuity sales, finding the agency did not exceed its authority in ushering it in.

  • February 17, 2017

    Ex-HD Supply Managers Sue In Chancery Over Stock Awards

    Two high-ranking employees of HD Supply Holdings Inc.’s former Power Solutions unit launched a class action in Delaware Chancery Court late Thursday claiming their stock compensation did not fully vest as promised when the subsidiary was sold to Anixter International Inc.

  • February 17, 2017

    Ex-Neurostar Investors Say Buyer Is Holding On To Escrow

    Former securityholders of medical imaging device maker Neurostar Solutions Inc. said in a lawsuit unsealed Friday in Delaware Chancery Court that the company that bought the firm in 2014 is withholding more than $1.7 million of cash placed into escrow as part of the deal without justification.

  • February 17, 2017

    SEC, State Watchdogs To Share Info On Private Capital

    The U.S. Securities and Exchange Commission on Friday announced that it has signed an information sharing pact with a group of state securities regulators to monitor the effects of new rules for intrastate crowdfunding and regional offerings.

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