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Posts related to ‘SEC’

Dendreon In Trouble

Posted: May 17, 2012 at 11:35 am

Dendreon Corporation (NASDAQ: DNDN) is in trouble.  That is what the performance is telling investors.  The maker of Provenge as a late-stage prostate cancer treatment has three issues working against ...
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Chesapeake Faces SEC Inquiry, As Does Chairman & CEO (CHK)

Posted: May 3, 2012 at 4:12 pm

Chesapeake Energy Corporation (NYSE: CHK) has confirmed what many investors probably should have been expecting in relation to the recent CEO double-dip dealing of Aubrey McClendon.  Chesapeake issued a notice ...
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New Ponzi Scheme Targeted Church Congregations

Posted: April 12, 2012 at 12:06 pm

Bernie Madoff was the ultimate scum if you consider the size, time period and numbers of clients that his Ponzi scheme damaged.  It was billions of dollars lost.  There may ...
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Goldman Sachs Settles Over ‘Huddle’ Charges by SEC & FINRA (GS)

Posted: April 12, 2012 at 11:48 am

Goldman Sachs Group Inc. (NYSE: GS) just seems as though it cannot get out from under the negative spotlight.  The Securities and Exchange Commission charged that the brokerage and trading firm ...
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SEC Nails Another Chinese Stock Fraud Scheme (AUTCF)

Posted: April 11, 2012 at 12:25 pm

The Securities and Exchange Commission has announced that it has charged AutoChina International Limited (OTC: AUTCF) AND 11 INVESTORS with conducting a market manipulation scheme.  The charges showed that the company ...
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An SEC Concern Over Target Date Retirement Fund Disclosures

Posted: April 4, 2012 at 9:08 am

The Securities and Exchange Commission is highlighting something which may be a concern for the popular mutual fund themes called Target Date Retirement Funds.  For the billions and billions of ...
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SEC Moves Closer To Canadians To Regulate Financial Firms

Posted: April 3, 2012 at 5:11 pm

The Securities and Exchange Commission has announced that its senior staff met last week with counterparts at the Ontario Securities Commission.  The move aims to discuss ways to further strengthen ...
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Good News Trumps Bad for Willbros (WG, ETP)

Posted: April 2, 2012 at 10:36 am

Oil & gas construction firm Willbros Group Inc. (NYSE: WG) announced preliminary results for the company’s fourth quarter and full fiscal year, at the same time that it said that ...
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Swisher’s Accounting Swish… Sticky Fingers (SWSH)

Posted: March 28, 2012 at 4:05 pm

Swisher Hygiene Inc. (NASDAQ: SWSH) is having a bad day and it has to have shareholders more than just a bit worried.  The company has said that it will file ...
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Inergy Midstream Prices IPO (NRGY, MS, BAC, JPM)

Posted: December 6, 2011 at 9:17 am

Inergy Midstream L.P. has indicated its IPO price range as being $19-$21/common unit and will offer 16 million units when the company goes public. It will trade on the NYSE ...
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Chimera Accounting Review, A Lesson For Other Mortgage REITs (CIM, NLY, AGNC, HTS, MORT)

Posted: November 15, 2011 at 11:01 am

Chimera Investment Corporation (NYSE: CIM) is the mortgage REIT which we used to dub "the vulture mortgage REIT" because of its targets in lower-rated mortgage-backed securities. Usually a delay in a ...
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SEC Seeks To Change Market Circuit Breakers

Posted: September 27, 2011 at 3:43 pm

The Securities and Exchange Commission has announced that the national securities exchanges and FINRA are filing proposals in a move to revise the current stock market circuit breakers in an ...
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Certain Stanford Investors Get Some SEC Support

Posted: June 15, 2011 at 2:53 pm

It looks like at least some of the investors who were screwed by Stanford may get to recover some assets.  This is not meant to be a catch-all recovery nor ...
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Huge Twist in Cell Tower Wars: Tax Accounting Issues from the SEC (AMT, CCI, SBAC)

Posted: June 3, 2011 at 9:45 am

American Tower Corporation (NYSE: AMT) and Crown Castle International Corp. (NYSE: CCI) are the two major players in the world of cellphone towers.  Go ahead and include 4G too.  This ...
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SEC Operational Plans If Government Closes Down (NYX, NDAQ, CME, ICE, CBOE)

Posted: April 8, 2011 at 11:50 am

If you are like the rest of who are upset about some 'minor market issues' like Bernie Madoff, Raj, Octopussy, and the dozens of other extreme violations of securities laws, ...
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