Securities Law 
Results of Operations and Financial Condition, Financial Statements an – Yahoo! Finance
In accordance with general instructions to Form 8-K, the information in this Form 8-K and the Exhibit 99.1 attached hereto is being furnished under Item 2.02 and shall not be deemed “filed” for purposes of Section 18 of the Securities … Continue reading
STEC, Inc. (STEC) Reports the SEC Files Civil Action in Connection with Federal Securities Laws – StreetInsider.com
STEC, Inc. (Nasdaq: STEC) announced today the United States Securities and Exchange Commission filed a civil action against Manouch Moshayedi, the Company’s chairman and chief executive officer, in connection with the Staff of the Commission’s previously …
U.S. municipal bond market still unclear on advisers – Chicago Tribune
The law requires those who counsel states, cities and authorities on bond sales to register with the Securities and Exchange Commission, subjecting them to the same regulation as brokers and dealers in the $3.7 trillion municipal bond market.
For UBS, A Record Of Averting Prosecution – New York Times
The federal agency overseeing Fannie Mae and Freddie Mac sued UBS for securities law violations, accusing it of “materially false statements and omissions.” The agency is seeking $1 billion in damages. (UBS has denied the charges and the …
Ryan & Maniskas, LLP Announces Investigation of Ignite Restaurant Group, Inc. – CNBC
as commenced an investigation into potential securities law violations by certain officers of Ignite Restaurant Group, Inc. (“Ignite” or the “Company”) (NASDAQ: IRG). The investigation focuses on allegations that certain statements issued by the Company …
Saxena White P.A. Files Securities Fraud Class Action Against Lime Energy Company – NBCNews.com
The complaint brings forth claims for violations of the Securities Exchange Act of 1934. Lime provides clean energy solutions that assist clients in the achievement of their energy efficiency and renewable energy goals. On July 17, 2012, the Company …
Howard Bancorp Raises $10.2 Million In Its Initial Public Offering – Yahoo Finance
solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or jurisdiction. About Howard Bancorp, Inc. Howard Bancorp, Inc. is the holding company for Howard Bank, a Maryland trust …
Howard Bancorp Raises $10.2 Million In Its Initial Public Offering – MSN Money
solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or jurisdiction. About Howard Bancorp, Inc. Howard Bancorp, Inc. is the holding company for Howard Bank, a Maryland trust …
Law Office of Brodsky & Smith, LLC Announces Investigation of Kosmos Energy, Ltd. – MSN Money
BALA CYNWYD, Pa., July 20, 2012 /PRNewswire/ – Law office of Brodsky & Smith, LLC announces that it is investigating potential violations of the Securities Exchange Act of 1934 by Kosmos Energy, Ltd. (“Kosmos” or the “Company”) (NYSE- KOS).
Rick Weintraub Joins CommunityLeader’s Executive Team as Chief Compliance Officer – San Francisco Gate
Joseph Barisonzi, CEO of CommunityLeader, Inc. announced today that Southern California securities law attorney, Richard (“Rick”) A. Weintraub has joined their company as chief compliance officer. “Rick is a great addition to the CommunityLeader …
