Topic - United States Securities And Exchange Commission

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  • Ex BP-employee settles US insider-trading charges

    A former BP employee who was a coordinator during the 2010 oil spill in the Gulf of Mexico has agreed to settle federal charges of using confidential information on the seriousness of the spill to profit illegally from trading in BP stock.

  • Judge refuses to halt Wal-Mart proxy distribution

    A federal judge in Delaware refused on Friday to issue an injunction prohibiting Wal-Mart from sending its annual proxy statement to shareholders because it doesn't include a Manhattan church parish's proposal for a shareholder vote involving gun sales.

  • Convicting 5, jury nixes Madoff claim he was alone

    Imprisoned financier Bernard Madoff's claim that he carried out a nearly $20 billion fraud by himself has been firmly rejected by a jury that convicted five of his former top employees of all charges that they aided his crimes.

  • Feds defy warnings over porn surfing; more get caught years after scandal

    When confronted with the charge that he had looked at pornography on his government computer 13,224 times during a 14-month span, one Bureau of Public Debt employee offered a novel excuse: He had too much time on his hands.

  • Ex-Va. gov seeks FDA, SEC files on likely witness

    Former Virginia Gov. Bob McDonnell's attorneys are seeking documents from two federal agencies that they hope to use to attack the credibility of the government's expected star witness in his public corruption case.

  • Judge orders ex-trader 'Fabulous Fab' to pay $825K

    A once high-flying Goldman Sachs trader dubbed "Fabulous Fab" was ordered Wednesday to pay more than $825,000 in one of the prominent cases stemming from the mortgage meltdown that helped spark the Great Recession.

  • SEC rejects NY fund's request for bank disclosures

    The Securities and Exchange Commission has rejected shareholder proposals from New York's comptroller that would have asked two major banks to disclose which employees are capable of exposing them to major losses because of their portfolios and bonus incentives.

  • NY comptroller pushes bank high-risk disclosures

    New York's comptroller is urging two major banks to tell shareholders which employees are capable of exposing them to major losses because of their portfolios and bonus incentives.

  • KPMG paying $8.2M to settle SEC charges

    The big accounting firm KPMG has agreed to pay $8.2 million to settle federal regulators' charges of compromising its independence by providing non-audit services to companies whose books it audited.

  • Alcoa subsidiary pleads guilty to Bahrain bribery

    PITTSBURGH (AP) — A subsidiary of Alcoa Inc. pleaded guilty Thursday and, along with the parent company, will pay a total of $384 million in penalties for bribing officials in the kingdom of Bahrain through a London-based middleman.

  • Mark Cuban, owner of the NBA's Dallas Mavericks, won a jury verdict in an insider-trading case filed against him by the Securities and Exchange Commission. (ASSOCIATED PRESS)

    Stung by defeat: SEC hires trial consultants

    EXCLUSIVE: Facing a string of recent high-profile courtroom defeats lately, the Securities and Exchange Commission wants to a hire a mock trial firm to help agency lawyers get ready for big cases.

  • ** FILE *** An ECOtality charging station. (Associated Press)

    Bankrupt energy company probed

    Securities regulators are investigating a green energy company that won a $100 million federal grant under President Obama's stimulus program, only to end up bankrupt this fall.

  • Homer Simpson featured in the FOX comedy.

    Nuclear regulators bypass federal firewalls, find ways to see porn

    It's become tougher to surf porn on government computers after scandals, but some workers at the Nuclear Regulatory Commission managed to find ways to bypass detection software and firewalls to get the illicit content, records show.

  • Facebook Chief Operating Officer Sheryl Sandberg delivers a speech during the Global Women's Leadership Summit in Tokyo on Tuesday, July 2, 2013. (AP Photo/Shizuo Kambayashi)

    EDITORIAL: The Class Envy Commission

    President Obama thinks some people make too much money, and he intends to do something about it. Armed with the Dodd-Frank Wall Street regulation bill he pushed through Congress in 2009, the Securities and Exchange Commission is poised to stoke the flames of class envy by shaming CEOs who earn "too much" money.

  • FILE - This Oct. 15, 2008, file photo, shows the exterior view of JPMorgan Chase offices in San Francisco. In a settlement announced Wednesday, Oct. 16, 2013, JPMorgan Chase & Co., has agreed to pay a $100 million penalty and admitted that it “recklessly” distorted prices during a series of London trades that ultimately cost the bank $6 billion in losses. (AP Photo/Paul Sakuma, File)

    JPMorgan pays $100M, admits fault in London trades

    JPMorgan Chase & Co. has agreed to pay a $100 million penalty and admitted that its traders acted "recklessly" during a series of London trades that ultimately cost the bank $6 billion.

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