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Tag: sec
SEC wins case against brokers fired by Westport firm
2016-03-03 15:13:05| Energy - Topix.net
Euro Pacific Capital, run by Peter Schiff , fired two brokers following an investigation into trades they made based on an insider tip of a 2009 acquisition by IBM. On March 2, 2016, the Securities and Exchange Commission announced a jury verdict in the SEC's favor against the brokers.
Valeant under investigation by SEC
2016-02-29 23:10:28| BBC News | Business | UK Edition
Valeant Pharmaceuticals is being investigated by the Securities and Exchange Commission, it has confirmed.
Tags: sec
investigation
valeant
Exclusive: New York asks SEC to force climate vote onto Exxon proxy
2016-02-24 08:34:04| Chemicals - Topix.net
New York state's comptroller and four other Exxon Mobil shareholders asked the U.S. Securities and Exchange Commission this week to force the oil producer to include a climate change resolution in its annual shareholder proxy, according to a filing seen by Reuters. The move, the first since the Paris climate accord, ratchets up the tension between the world's largest publicly traded oil company and a growing chorus of investors concerned that climate change or legislation designed to curb it will harm Exxon's ability to operate profitably.
Dress Barn Finance Department Yields Another SEC Insider Trading Action
2016-02-23 00:46:03| Apparel - Topix.net
The SEC filed another insider trading action as an administrative proceeding a continuing trend. This action may also represent another trend it is the second which names as a Respondent a member of the finance department for the Dress Barn subsidiary of Ascena Retail Group, Inc. In the Matter of Nicholas A. Prezioso, Adm.
Tags: action
department
finance
sec
Banc of America Sec Downgrades WestJet Airlines Ltd. (WJA) to Underperform
2016-01-31 04:49:36| Airlines - Topix.net
They presently have a C$18.00 price objective on the stock, down from their prior price objective of C$22.00. Banc of America Sec's price objective suggests a potential downside of 5.11% from the stock's current price.
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