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Tag Archives: SEC

Law student wins unusual motion before Duke-UNC game

Welcome to Monday, the 54th anniversary of Martin Luther King Jr.‘s assassination. Here are some other news items. — Law student wins “motion” to extend assignment deadline so she could watch her beloved Tar Heels. — Colorado Supreme Court says ...

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Under Armour cuts revenue forecast, faces federal investigation

Following the revelation over the weekend that the federal government is investigating its accounting practices, Under Armour reported Monday that third-quarter revenues dropped 1% and said that it expects revenues for the year to fall short of expectations. The Baltimore-based ...

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U.S. Attorney charges 3 in $364M Ponzi scheme

Three men accused of defrauding hundreds of investors in a $364 million Ponzi scheme were arrested Tuesday and charged with wire fraud and money laundering. The U.S. Attorney’s Office in Baltimore announced the arrests Wednesday and unsealed a 14-count indictment ...

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OSHA whistleblower policy a ‘game changer’ for corporate America

New guidelines released by the Occupational Safety and Health Administration are a “game changer” for how corporate America will handle whistleblowers in the workplace, a national employment law firm says. Under the new rules, the federal agency responsible for enforcing ...

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SEC proposes making brokers reveal where client orders go

Brokers may have to dish up more information on where they’re sending their client orders. The U.S. Securities and Exchange Commission is proposing rules that for the first time would force brokers to provide standard data on where they send ...

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SEC considers SAC victims’ fund

The U.S. Securities and Exchange Commission is considering establishing a victims’ fund with the $602 million that SAC Capital Advisors LP paid to settle an insider-trading case brought by regulators.

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