U.S. Securities and Exchange Commission
SEC fines Deutsche $73 million for mishandling depositary receipts
The U.S. Securities and Exchange Commission said on Friday that it fined two Deutsche Bank subsidiaries in the U.S. $75 million for mishandling …
Deutsche BankA Closer Look With Arthur Levitt: Frank Rich (Audio)
Arthur Levitt, former chairman of the U.S. Securities and Exchange Commission, interviews Frank Rich, executive producer of HBO’s Veep and …
Financial RegulationCoinbase Reportedly Secures $20 Billion Hedge Fund Through Its Prime Brokerage Services
Major U.S. crypto wallet and exchange Coinbase has reportedly secured a $20 billion hedge fund for its custody service, Business Insider reports July …
Hedge FundsFormer Oilers owner Peter Pocklington budding cannabis businessman
Peter Pocklington, the contentious businessman who once owned the Edmonton Oilers, is exploring a new business opportunity: cannabis.<p>Pocklington is …
Cannabis$600,000 Knicks Ticket Perk Triggered BGC's SEC Fine – Bloomberg
$600,000 Knicks Ticket Perk Triggered BGC's SEC Fine<p>$600,000 Knicks Ticket Perk Triggered BGC's SEC Fine<p>$600,000 Knicks Ticket Perk Triggered BGC's …
Financial RegulationNetgear's Arlo division files for IPO and 'ARLO' ticker symbol
Netgear's lineup of Arlo security cameras have sold incredibly well over the past few years. Plans to spin off the Arlo division were announced in …
Android NewsMobile Data Startup Jiguang Files for U.S. IPO
A leading mobile data company has jumped on the bandwagon of Chinese internet startups tapping the U.S. market to fund expansion.<p>Shenzhen-based …
News (China)Wells Fargo fined by SEC over investment sales misconduct
(Reuters) - Wells Fargo & Co (WFC.N) will pay more than $5.1 million to settle U.S. Securities and Exchange Commission charges it improperly pushed retail customers to actively trade complex investments in order to generate higher fees.<p>The SEC on Monday said the payout includes a $4 million civil …
FinanceSEC official: Ether, bitcoin should not be regulated as securities
U.S. Securities and Exchange Commission Director, Division of Corporation Finance William Hinman said at its current state there is little value to …
CryptocurrencyFuel cell start-up Bloom Energy files for IPO
June 12 (Reuters) - Start-up Bloom Energy Corp, which makes fuel cell boxes that can power an entire building, filed for an initial public offering …
StartupsU.S. regulator wins order halting coin offering scheme
WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission said on Tuesday it had won an emergency court order halting an alleged fraud involving an initial coin offering that raised as much as $21 million from investors in the United States and elsewhere.<p>The court also approved an …
Financial RegulationAmazon boosts credit line by $4 billion ahead of HQ2 decision, rumors of Boeing jet order
Amazon disclosed the massive addition to its credit lines in a U.S. Securities and Exchange Commission document filed late Friday.
BoeingAMC CEO Sapan Sees Compensation Dip Slightly
Compensation in 2017 declined for the two top operating executives of AMC Networks, the company said Thursday in a filing with the U.S. Securities …
EntertainmentEx-Aveo Pharmaceuticals CFO must face SEC trial, judge rules
A federal judge on Friday cleared the way for the U.S. Securities and Exchange Commission to take Aveo Pharmaceuticals Inc’s former chief financial officer to trial over claims he misled investors in connection with the company’s efforts to develop a cancer drug.<p>U.S. District Judge Nathaniel Gorton …
LawSEC proposes new 'best interest' standard rule for retail investors
NEW YORK, April 18 (Reuters) - The U.S. Securities and Exchange Commission on Wednesday proposed a new rule that would raise the standards registered broker-dealers in the securities industry must comply with when providing retail investors financial advice.<p>The Regulation Best Interest would …
Financial RegulationU.S. fines large financial advisers for breaching fiduciary duties
WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission said on Friday it had fined PNC Investments LLC, Securities America Advisors LLC and Geneos Wealth Management Inc. around $15 million collectively for allegedly breaching fiduciary duties to clients and generating millions of …
BusinessCoinbase unveils fund for early-stage cryptocurrency startups
Coinbase has launched a new fund called Coinbase Ventures to invest in early-stage cryptocurrency and blockchain startups. In a blog post, Coinbase head of corporate and business development Emilie Choi said that the fund’s goal is to strengthen the sector.<p>“At least in the beginning, our goal is …
CryptocurrencySEC charges former hockey team owner Pocklington over medical device
WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission said on Thursday it had charged convicted felon and former hockey team owner Peter Pocklington, his medical device company, his attorney and others with allegedly defrauding investors and misappropriating their funds.<p>The top U.S. …
Financial RegulationFounders of Cryptocurrency-Focused Tech Company Face Federal Fraud Charges
[caption id="attachment_26576" align="aligncenter" width="620"] <i>Photo Credit: whiteMocca/Shutterstock.com</i>[/caption] Two heads of a tech company that …
CryptocurrencyEndo Agrees to Extend Temporary Stay of FDA Litigation
DUBLIN, April 2, 2018 /PRNewswire/ -- Endo International plc (ENDP) today announced that it has agreed to extend a temporary stay of its litigation …
BiotechnologySalesforce Launches Integration Cloud and Empowers Trailblazers to Create Connected Customer Experiences with the Salesforce Platform
<b>New Integration Cloud will surface data regardless of where it resides to connect every system, customer and device in a whole new way</b><p><b>Lightning Flow</b> …
San FranciscoEx-Kirkland Partner Robert Khuzami Banked $11M Partnership Share
This premium content is locked for<br>The American Lawyer subscribers only.<p>Subscribe now to enjoy unlimited access to The American Lawyer content,<br>• 5 free …
LawBitcoin Bull Tom Lee Says HODL On During Slumps for Big Gains
Bitcoin advocate Thomas Lee is leaning on his years of experience as a stock analyst when warning cryptocurrency investors that they need to be …
CryptocurrencyGevo's (GEVO) CEO Patrick Gruber on Q4 2017 Results - Earnings Call Transcript
Gevo, Inc. (NASDAQ:GEVO) Q4 2017 Earnings Conference Call March 28, 2018 4:30 PM ET<p><b>Executives</b><p>Geoffrey T. Williams, Jr. - General Counsel and Secretary<p>…
Kinder MorganS.E.C., Catch Up: The Netherlands Breaks New Ground, Evaluates & Declares No-Action on ICO
I have worked with more than a dozen token projects in one way or another and while <i>so much</i> has changed in the past year, one thing remains true: …
CryptocurrencyU.S. SEC charges Wedbush Securities in employee’s alleged fraud
WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission has charged Wedbush Securities Inc for failing to supervise an employee after the broker-dealer ignored red flags that the employee was involved in a “long-running pump-and-dump scheme targeting retail investors,” the agency said in …
CorruptionSEC official: Cryptocurrency trading needs stock market principles
(<i>Reuters</i>) — The cryptocurrency trading marketplace could be improved by applying some of the principles from the stock market such as best execution and surveillance, a senior U.S. Securities and Exchange Commission official said on Thursday.<p>While the cryptocurrency market is still evolving, it …
CryptocurrencyLaureate Education, Inc. (LAUR) Q4 2017 Earnings Conference Call Transcript
LAUR earnings call for the period ending December 31, 2017.<p><b>Laureate Education, Inc.</b> (NASDAQ:LAUR)<br>Q4 2017 Earnings Conference Call<br>March 20, 2018 <i>5:00</i> …
InvestingSalesforce agrees to buy MuleSoft in $6.5 billion deal
Salesforce announced an agreement on Tuesday to buy MuleSoft in an enterprise technology merger that would value MuleSoft at $6.5 billion.<p>Salesforce …
TechnologyMorning Brief: Fed expected to raise rates today
Wednesday, March 21, 2018<p><b>What to watch today</b><p>Wednesday is all about the Federal Reserve. At 2:00 p.m. ET, the U.S. central bank will release its …
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