Topic - United States Securities And Exchange Commission

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  • House Minority Leader Nancy Pelosi of Calif. speaks at the Generation Progress's annual Make Progress National Summit in Washington, Wednesday,July 16, 2014. The summit brings together progressive leaders and young people. (AP Photo/Cliff Owen)

    Company co-founded by Nancy Pelosi's son charged with securities fraud

    The Securities and Exchange Commission (SEC) charged a company cofounded by Paul Pelosi Jr. with fraud on Wednesday after learning that two convicted criminals were running the business.

  • Illustration on unworkably complex SEC regulations by Linas Garsys/The Washington Times

    GALLAGHER & PITT: When ruler-makers don't follow the rules

    Thomas Jefferson once observed, "The whole art of government consists in the art of being honest."

  • Docs settle insider trading claims for $100,000

    Two Southern California doctors will pay more than $100,000 to settle insider-trading allegations involving a drug they were testing.

  • Regulators win civil case vs. Texas entrepreneurs

    Two Texas brothers acted fraudulently by trying to hide assets they controlled in four public companies that were sold for billions of dollars, a jury determined Monday in a civil trial.

  • "How much pornography would it take for an EPA employee to lose their job?" an incredulous Rep. Darrell E. Issa, California Republican and chairman of the House Committee on Oversight and Government Reform, asked an EPA deputy last week during a hearing into agency misconduct. (associated press)

    Fed's online porn surfing opens government computers to viruses

    Porn in the federal workplace poses a security risk, giving computer viruses inroads to attack government servers.

  • SEC: Texas businessman Wyly lied at NYC trial

    A Securities and Exchange Commission lawyer panned a wealthy Texas entrepreneur's testimony Tuesday as she delivered a closing argument at his civil fraud trial, saying he lied repeatedly when he claimed that he acted honorably and did not try to earn hundreds of millions of dollars illegally.

  • NYSE, 3 affiliates paying $4.5M penalty

    The New York Stock Exchange and three affiliates have agreed to pay a $4.5 million penalty to settle federal regulators' charges that they repeatedly violated rules governing the handling of orders and other practices.

  • Wave-energy company opts out of Oregon

    A company that was planning a wave energy installation off the Oregon coast that could have powered 1,000 homes has said it will instead undertake the project in Australia.

  • FILE - This  Sept. 2, 2008 file photos shows Samuel Wyly at his Explore book store in Aspen, Colo.  For decades, Samuel and his brother Charles Wyly of Dallas were two of America's wealthiest and most successful entrepreneuers. But the Securities and Exchange Commission is casting their legacy in a different light at a civil trial in federal court in Manhattan, saying they engaged in lies, deception and fraud for 13 years to hide securities trades in the companies they founded as they scored more than $500 million in profits. (AP Photo/Ed Kosmicki, File)

    Businessman's reputation, cash on line at NY trial

    For decades, Sam and Charles Wyly won admiration as Texas entrepreneurs skilled at building businesses worth billions of dollars. But a regulatory agency is casting them in a new light at a civil trial, saying the brothers earned more than $500 million through fraud and deception by secretly trading the securities of public companies they controlled.

  • NC employee union takes pension complaints to feds

    The union representing tens of thousands of North Carolina state workers said Tuesday it filed a complaint with the federal Securities and Exchange Commission over how State Treasurer Janet Cowell is managing the $86 billion pension system.

  • 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.

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