July 14, 2008 –
2008-140 Washington, D.C., July 13, 2008 — The Securities and Exchange Commission today announced that the SEC and other securities regulators will immediately conduct examinations aimed at the prevention of the intentional spread of false information intended to manipulate securities prices. [more]
June 25, 2008 –
SEC Charges Scottrade for Misrepresentations to CustomersFOR IMMEDIATE RELEASE
2008-120
Washington, D.C., June 24, 2008 — The Securities and Exchange Commission today charged St. Louis-based broker-dealer Scottrade, Inc., for fraudulent misrepresentations it made to customers relating to the firm's execution of their Nasdaq pre-open orders, which are placed after the day's market close to be executed at the next market opening. Without admitting or denying the Commission's findings, Scottrade agreed to pay a $950,000 penalty to settle the SEC's charges. [more]
June 02, 2008 –
"Washington, D.C., March 20, 2008 — The Securities and Exchange Commission today continued its highly successful pursuit against stock market e-mail spam by suspending trading in the securities of three companies that haven’t adequately disclosed information to investors and have been the subject of spam e-mail campaigns and promotional videos on the Internet site YouTube. The videos often repeat information in the companies’ press releases and are posted to coincide with traditional spam e-mail campaigns. [more]
April 17, 2008 –
The SEC recently posted the following article in regards to potentially dubious security trading firms, as a result of investor complaints they have received lately. I know most of you are probably trading on-line, and thus wouldn't be caught dealing with these jokesters anyway, however, its pretty interesting to see the list anyway, including some of the names involved which try to sound like reputable companies, such as: [more]
April 07, 2008 –
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RELATED TICKERS: COH
, SLE
Interesting, that Sarah Lee and Coach have passed by-laws that make it harder to short sellers to get on their company's boards. I think their changes are smart. I hadn't thought about how an activist shareholder, who really is short the company, could actually get on the board for the purpose of passing rules to run the company into the ground. It's like watching an episode of LOST. [more]
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