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Posts related to ‘SEC’

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More ‘Going Concern’ Notes Hitting Companies (AWBC, AHR, BWTR, CHCI, DCGN, GST, MLP, OXGN, TMI, XCR)

Posted: April 1, 2009 at 10:07 am

This might be a record year for auditor "going concern" notes being included in annual report filings with the SEC. If it isn't a record, it sure feels like it.  ...
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The Death of Formal Earnings Guidance

Posted: January 27, 2009 at 6:30 am

There is a new trend that has emerged in this earnings season that will have an impact in 2009 and maybe beyond: a lack of earnings and/or revenue guidance.  This ...
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Madoff: The $50 Billion Ponzi Man (NDAQ)

Posted: December 12, 2008 at 9:34 am

Bernie Madoff, the former non-executive Chairman of the NASDAQ (NASDAQ: NDAQ), has been arrested on an investor fraud case that has massive implications over trust and legitimacy on Wall Street.  ...
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SEC Finally Curbs Naked Short Selling

Posted: September 17, 2008 at 9:36 am

The Securities and Exchange Commission has announced new measures this morning to curb naked short sales.  The rules impose a firm close-out requirement on short sellers and their brokers.  Parties ...
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VeriFone’s Long Journey on the Rehab Trail (PAY)

Posted: August 20, 2008 at 8:38 am

We noticed a huge surge in activity over at Volume Spike this morning in shares of VeriFone Holdings Inc. (NYSE: PAY). You can thank the company finally giving a positive ...
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Sirius (SIRI): A Miss Is As Good As A Mile

Posted: August 7, 2008 at 6:19 am

Sirius (SIRI) second quarter earnings demonstrated once again that, even after a merger with XM the new entity is not a viable business. The company's gross subscriber additions were 1,029,287, ...
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VeriFone Sets Do or Die Date With SEC (PAY)

Posted: July 28, 2008 at 9:02 am

VeriFone Holdings Inc. (NYSE: PAY) is seeing a rather solid recovery this morning early on, but the volume is rather light considering its past and shares have already pulled back ...
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Investools Hit By Double Whammy (SWIM)

Posted: May 2, 2008 at 7:42 am

Investools Inc. (NASDAQ: SWIM) is under serious fire this morning from traders.  The company posted net income of $0.17 EPS, but First Call was at $0.21 EPS.  This is on ...
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Municipal Bond Iissuers Can Bid On Own Debt

Posted: March 14, 2008 at 5:37 pm

The SEC has cleared the way for muni bond issuers to bid on their own debt. According to MarketWatch the bids can be made "without incurring charges of market manipulation."Douglas ...
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CEOs Time Stock Gifts A Little Too Well (HMA)(MSM)

Posted: March 5, 2008 at 5:11 am

It looks like CEOs are timing stock gifts, especially those to their family foundations, a little too well A study by a professor at New York University looked at 151 ...
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Shaw Group’s SEC Inquiry Ends (SGR)

Posted: December 28, 2007 at 8:59 am

The Shaw Group Inc. (NYSE: SGR) has just announced that it has received notification from the Securities and Exchange Commission that the SEC's Division of Enforcement has completed its informal ...
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Rambus Escapes SEC Options Probe Unscathed (RMBS)

Posted: December 5, 2007 at 8:38 pm

Rambus Inc. (NASDAQ:RMBS) has announced that it received notification from the SEC stating that the informal investigation into Rambus’s past stock option practices has been terminated and that no enforcement ...
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VeriFone Does The Unthinkable (PAY)

Posted: December 3, 2007 at 9:49 am

VeriFone (NYSE:PAY) is seeing shares crushed today after the company issued a release stating that it was going to restate financial results and quarterly financial statements for 2007.  This is ...
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Bidz.com On The Offensive (BIDZ)

Posted: November 29, 2007 at 8:33 am

Shares of Bidz.com (BIDZ) are trading up 8% pre-market after it announced after yesterday's close that it was going to investigate possible wrongdoing by Andrew Left of Citron Research after ...
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Quality Systems Free From SEC Inquiry (QSII)

Posted: November 20, 2007 at 9:23 am

Quality Systems, Inc. (NASDAQ:QSII) has issued a release stating that it received a letter dated November 19, 2007, from the Securities and Exchange Commission (L.A. regional office) that informed CFO ...
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