SEC Proposes Disclosure of CEO vs. Median Employee Pay Ratio

Posted by Teresa Bockwoldton September 18, 2013

This is a great article from FEI today. This seems to only serve the purpose of letting everyone know how severe the pay inequalities may be at any one organization so it should prove interesting to see if this moves beyond just a proposed ruling phase...

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Tags: Securities and Exchange Commission, disclosure, accounting, purposed rulings

SEC Charges Fortune 200 Company for Accounting Deficiencies

Posted by Teresa Bockwoldton June 12, 2013

The SEC claims PACCAR’s internal control procedures were ineffective and kept the company from adhering to various accounting rules.

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Tags: Securities and Exchange Commission, SEC, SEC fines

SEC charges CA officials with Defrauding Bond Investors

Posted by Alex Roweon May 1, 2013

SEC charges City of Victorville, CA officials with Defrauding Municipal Bond Investors

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Tags: Airport Authority, Securities and Exchange Commission, KND Affiliates, Janees Williams, Kinsell Newcomb & DeDois, Victorville, fraud, SEC, Keith Metzler, Jeffrey Kinsell

SEC REPORT: Level Global Agrees to Pay More Than $21.5 Million to Settle SEC Insider Trading Charges

Posted by Alex Roweon April 30, 2013

Level Global Investors have agreed to pay more than $21.5  million in fines to the SEC to settle charges that it’s Co-Founder, Anthony Chiasson, engaged in insider trading in the securities of of Dell Inc. and Nvidia Corp.  Also charged was former analyst, Spyridon “Sam” Adondakis, five investment professionals, and the hedge fund advisory firm, Diamondback Capital Management.

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Tags: Securities and Exchange Commission, Dell Inc., Nvidia Corp., Diamondback Capital Management, SEC, Level Global Investors, Adondakis, Chiasson, SEC fines

CA lawyer charged with FRAUD for his opinion mill

Posted by Alex Roweon March 8, 2013

The Securities and Exchange Commission has charged a California based lawyer, Brian Reiss, with selling fraudulent legal opinion letters through his website. These documents were issued to transfer agents on behalf of holders, to lift restrictions on stocks to be freely traded again.

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Tags: brian reiss, Securities and Exchange Commission, photoshop, 144, stock market, fraud, SEC, reiss