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A collection of news and information related to Securities published by this site and its partners.

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    May 30, 2013 |Story| Los Angeles Times

  1. Nasdaq settles Facebook IPO debacle with SEC

    NEW YORK — Nasdaq OMX Group will pay $10 million for botching Facebook's initial public stock offering last year, a debacle that shook investors' confidence in Wall Street.
    NEW YORK — Nasdaq OMX Group will pay $10 million for botching Facebook's initial public stock offering last year, a debacle that shook investors' confidence in Wall Street. Nasdaq's penalty would be the biggest ever paid by an exchange, said the...

    Tags: Financing and Stock Offerings, Media Industry, U.S. Securities and Exchange Commission, NYSE Euronext, Inc., Stock Market

    2. May 28, 2013 |Story| Los Angeles Times

  2. Former KPMG senior partner to plead guilty to securities fraud

    A former senior partner at accounting firm KPMG's Los Angeles office has agreed to plead guilty to a securities fraud charge of passing inside information about the firm's clients to a friend, who used it to make more than $1 million in stock trades.
    A former senior partner at accounting firm KPMG's Los Angeles office has agreed to plead guilty to a securities fraud charge of passing inside information about the firm's clients to a friend, who used it to make more than $1 million in stock trades....

    Tags: Insider Trading, Crime, Law and Justice, Skechers USA Incorporated, Herbalife Limited, Lawyers

    3. May 28, 2013 |Story| Los Angeles Times

  3. Redlands broker accused of stealing $4.2 million from two clients

    A Redlands broker allegedly stole $4.2 million from two client accounts, including one set up for an Alzheimer’s patient, and gave the money to two friends who spent lavishly on a vacation home and casino gambling, according to a complaint by the Financial Industry Regulatory Authority.
    A Redlands broker allegedly stole $4.2 million from two client accounts, including one set up for an Alzheimer’s patient, and gave the money to two friends who spent lavishly on a vacation home and casino gambling, according to a complaint by the...

    Tags: Casino and Gambling Industry, Travel, Finance, Tourism and Leisure, Theft

    4. May 17, 2013 |Column| Los Angeles Times

  4. Enron's Jeff Skilling doesn't deserve a break

    As if you didn't know this already, we're coddling criminals in America.
    As if you didn't know this already, we're coddling criminals in America. By that I don't mean the petty drug dealers, three-strikes necklace-snatchers and other mooks filling up our state prisons; many of them are doing hard time. I'm talking about...

    Tags: Court Preliminary, Corporate Officers, Crime, Law and Justice, Insider Trading, Finance

    5. Apr 11, 2013 |Story| Los Angeles Times

  5. Former KPMG auditor Scott London appears in court

    Scott London, the auditor fired by KPMG, appeared before a federal judge Thursday to answer to accusations that he helped orchestrate an insider-trading scheme that racked up $1.3 million in ill-gotten gains.
    Scott London, the auditor fired by KPMG, appeared before a federal judge Thursday to answer to accusations that he helped orchestrate an insider-trading scheme that racked up $1.3 million in ill-gotten gains. A somber expression on his face, London...

    Tags: Judges, Accounting and Auditing, Crime, Law and Justice, Finance, Insider Trading

    6. Apr 10, 2013 |Story| Los Angeles Times

  6. Insider-trading scandal poses risks to KPMG's reputation

    NEW YORK -- A former senior KPMG auditor's leaks could threaten the reputation of one of the country's biggest accounting firms, industry experts said.
    NEW YORK -- A former senior KPMG auditor's leaks could threaten the reputation of one of the country's biggest accounting firms, industry experts said. Auditors like Scott London, a former senior partner in KPMG's office in Los Angeles, are privy to...

    Tags: Accounting and Auditing, U.S. Securities and Exchange Commission, U.S. Department of Justice, Crime, Law and Justice, Finance

    7. Apr 11, 2013 |Story| Los Angeles Times

  7. Details emerge in case against ex-KPMG auditor Scott London

    The KPMG insider trading scam was far more profitable than earlier known and went longer than thought.
    The KPMG insider trading scam was far more profitable than earlier known and went longer than thought. Scott London, the disgraced ex-auditor from KPMG's office in Los Angeles, has been charged in a federal complaint with one count of conspiracy to...

    Tags: Insider Trading, Crime, Law and Justice, Finance, Deckers Outdoor Corporation, Financial Markets

    8. Apr 30, 2013 |Story| Los Angeles Times

  8. SEC accuses city of Victorville, others of fraud in bond sale

    Ever since the Department of Defense shut down George Air Force Base in 1992, the high desert town of Victorville has struggled to reinvent itself.
    Ever since the Department of Defense shut down George Air Force Base in 1992, the high desert town of Victorville has struggled to reinvent itself. The city encouraged massive residential and retail development. It invested in two new power plants....

    Tags: General Electric Company, College Sports, Wage Contract Issues, Government, Laws

    9. Apr 11, 2013 |Story| Los Angeles Times

  9. Ex-KPMG auditor Scott London is charged

    Prosecutors filed a criminal charge against disgraced former KPMG partner Scott London, saying he gave a stock-trading friend inside information about his firm's clients in exchange for cash, jewelry and expensive dinners.
    Prosecutors filed a criminal charge against disgraced former KPMG partner Scott London, saying he gave a stock-trading friend inside information about his firm's clients in exchange for cash, jewelry and expensive dinners. The criminal case filed...

    Tags: Crime, Law and Justice, Finance, Insider Trading, Bruce Springsteen, Skechers USA Incorporated

    10. Apr 11, 2013 |Story| Los Angeles Times

  10. In KPMG insider trading case, crime and blunders alleged

    It's the kind of audacious but small-stakes insider trading that normally wouldn't have merited much attention.
    It's the kind of audacious but small-stakes insider trading that normally wouldn't have merited much attention. Golfing buddies Scott London and Bryan Shaw netted just $1.3 million, a blip in a world where Wall Street kingpins pocket hundreds of...

    Tags: Court Preliminary, Media Industry, Stock Market, Finance, Crime, Law and Justice

    11. Mar 11, 2013 |Story| Los Angeles Times

  11. In rare move, SEC charges Illinois with securities fraud

    The Securities and Exchange Commission charged Illinois with securities fraud, accusing the state of misleading municipal investors over pension fund obligations, the regulatory agency said Monday.
    The Securities and Exchange Commission charged Illinois with securities fraud, accusing the state of misleading municipal investors over pension fund obligations, the regulatory agency said Monday. An investigation determined the state failed to...

    Tags: Pension and Welfare, U.S. Securities and Exchange Commission, Interior Policy, Politics, Prosecution

    12. Feb 27, 2013 |Story| Los Angeles Times

  12. SEC is investigating Michael Milken, magazine says

    Federal regulators are investigating whether onetime junk-bond czar Michael Milken violated his lifetime ban from the securities industry, according to a published report.
    This post has been updated. See below for details.
    Federal regulators are investigating whether onetime junk-bond czar Michael Milken violated his lifetime ban from the securities industry, according to a published report. Milken is allowed to manage his own wealth but is barred from running money for...

    Tags: U.S. Securities and Exchange Commission

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