Corporate Governance

gavel and cash money

10 Investment Advisory Firms Charged With Pay-to-Play Violations Following Campaign Contributions

The U.S. Securities and Exchange Commission (SEC) recently announced that 10 investment advisory firms have agreed to pay penalties ranging from $35,000 to $100,000 in an effort to settle charges ...
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natural gas pipeline

Is Williams Companies Really Simplifying Its Business?

Whenever an energy pipeline company says it is taking an action in order to simplify its structure, a wise investor prepares for complexity. The Williams Companies Inc. (NYSE: WMB) is ...
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bank building

What to Expect From 3 Major Bank Earnings

Three of the major banks are reporting their fourth-quarter financial results before the markets open on Friday. In general, financial stocks have made solid gains through the end of 2016, ...
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Good heart health

Friday’s 6 Biopharma Movers That Can’t Be Ignored

There is a very positive sentiment in the health care sector considering the new Trump administration that will be taking over in just two weeks. The health care sector was ...
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stacks of books

Barnes & Noble CEO Proves He Belongs Among 2016’s Worst CEOs

Bookseller Barnes & Noble Inc. (NYSE: BKS) posted its highest-ever stock price at above $45 a share in March of 2006. By March of 2011 it had dropped below $9 ...
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Selecting Ties

Macy’s CEO Lundgren Ruins Retailer as He Leaves

Macy's Inc. (NYSE: M) CEO Terry Lundgren was supposed to be a retail genius who reinvented the company to the point where it was considered among the nation's premier retailers. ...
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gavel and cash money

SEC Settles FCPA Charges With US Cable Company

The U.S. Securities and Exchange Commission (SEC) recently announced that Kentucky-based General Cable has agreed to pay over $75 million to resolve parallel SEC and U.S. Department of Justice investigations ...
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Twitter button

3 Executives Twitter Cannot Afford to Lose

Twitter Inc. (NYSE: TWTR) continues to bleed talent. Its chief technology officer, Adam Messinger, has resigned. So has the leader of its China operations, Kathy Chen. CEO Jack Dorsey has a ...
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Police badge

Fake Law Enforcement Badges Still Available at eBay

Would you know an authentic county sheriff's badge if someone dressed in a police uniform showed you one? How about an FBI badge from someone in a suit? Fake badges ...
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gavel and cash money

SEC Settles EB-5 Fraud Charges With Florida Businessman

The U.S. Securities and Exchange Commission (SEC) recently announced that a Florida-based businessman has agreed to settle charges that he misused investor funds that were intended to create U.S. jobs ...
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reprimand

SEC Charges California Lawyer With Stealing Investor Funds

The U.S. Securities and Exchange Commission (SEC) recently charged a California-based attorney with defrauding investors seeking to participate in the EB-5 immigrant investor program, stealing their funds to buy a ...
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China button

SEC Issues Charges Against Chinese Traders After Law Firm Hack

The U.S. Securities and Exchange Commission (SEC) recently charged three Chinese traders with fraudulently trading on hacked, nonpublic, market-moving information stolen from two prominent New York-based law firms, racking up ...
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gavel and cash money

Teva Agrees to Pay Over $500 Million for FCPA Violations

The U.S. Securities and Exchange Commission (SEC) recently announced that Teva Pharmaceutical Industries Ltd. (NYSE: TEVA) has agreed to pay over $519 million to settle parallel civil and criminal charges ...
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Retail

Did Fred’s Adopt Its Poison Pill Too Late?

Pharmacy chain Fred's Inc. (NASDAQ: FRED) on Tuesday announced that the company's board of directors had adopted a shareholders' rights plan "to ensure that the Board remains in the best ...
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boardroom

Caterpillar’s Executive Shuffle as Year Winds Down

As the year draws to a close, Caterpillar Inc. (NYSE: CAT) investors are seeing some changes in the company’s executive ranks. Following the previous announcement that Jim Umpleby will become ...
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