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U.S. Securities and Exchange Commission

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    May 22, 2013 |Story| Hartford Courant
  1. Phoenix Says Bondholders Consent To Delayed Financial Reports

    The Hartford Courant
    The Phoenix Cos. said Wednesday it won consent from bondholders, allowing the company to delay providing quarterly reports and a 2012 annual report to the bond trustee until the end of this year. Phoenix is restating financial statements for all of 2009,...

    Tags: Bonds, Finance

  2. May 22, 2013 |Story| Reuters
  3. PRESS DIGEST - Wall Street Journal - May 23

    Reuters
    May 23 (Reuters) - The following are the top stories in the Wall Street Journal. Reuters has not verified these stories and does not vouch for their accuracy. * Hundreds of JPMorgan Chase & Co employees have been redeployed to help the bank resolve...

    Tags: General Electric Company, Ford, JPMorgan Chase & Co., Ford Motor Co., FedEx Corporation

  4. May 22, 2013 |Story| Reuters
  5. T. Rowe's new lineup of target-date funds lighten up on stocks

    Reuters
    BOSTON, May 22 (Reuters) - U.S. money manager T. Rowe Price Group Inc on Wednesday said it plans to launch 11 new target-date funds that will put less emphasis on stocks before retirement and more on bonds. The Baltimore-based company filed a preliminary...

    Tags: Finance, T. Rowe Price

  6. May 21, 2013 |Story| Reuters
  7. Prosecutors consider using racketeering law against SAC: source

    Reuters
    NEW YORK (Reuters) - Prosecutors are considering charging Steven A. Cohen's SAC Capital Advisors as a criminal enterprise engaged in a long pattern of insider trading in stocks, according to a person familiar with the matter. Prosecutors may use the...

    Tags: Mathew Martoma, Lawyers, Insider Trading, Manhattan (New York City), Finance

  8. May 21, 2013 |Story| Reuters
  9. Wall St. watchdog to review broker bonus disclosure plan in July

    Reuters
    By Suzanne Barlyn WASHINGTON, May 21 (Reuters) - Wall Street's watchdog will present a plan to its board in July that would require brokers to tell certain clients about compensation they receive when they switch firms, the regulator's chief said on...

    Tags: Finance, Computing and Information Technology Industry, Investment Service, Securities, Media Industry

  10. May 21, 2013 |Story| Reuters
  11. Wall Street watchdog to review broker bonus disclosure plan in July

    Reuters
    WASHINGTON (Reuters) - Wall Street's watchdog will present a plan to its board in July that would require brokers to tell certain clients about compensation they receive when they switch firms, the regulator's chief said on Tuesday. Richard Ketchum,...

    Tags: Finance, Computing and Information Technology Industry, Investment Service, Securities, Media Industry

  12. May 21, 2013 |Story| Reuters
  13. Prosecutors' subpoena of SAC's Cohen puzzles defense lawyers

    Reuters
    NEW YORK (Reuters) - The decision by prosecutors to compel Steven A. Cohen to testify before a federal grand jury about allegations of insider trading at his $15 billion hedge fund is leaving many criminal defense lawyers scratching their heads. In the...

    Tags: HSBC Holdings plc, Lawyers, Insider Trading, The New York Times, Prosecution

  14. May 21, 2013 |Story| Chicago Tribune
  15. Allstate investors vote down proposals, back board at annual meeting

    Allstate Corp. investors voted down two shareholder proposals and approved the re-election of its board members at the Northbrook-based insurer's annual meeting.
    Tribune reporter
    Allstate Corp. investors voted down two shareholder proposals and approved the re-election of its board members at the Northbrook-based insurer's annual meeting. In preliminary results disclosed at the meeting, individual directors received 92 to 99...

    Tags: Board of Directors, Buyback, Tom Wilson, Marketing, Insurance

  16. May 21, 2013 |Story| Reuters
  17. Dimon clings to JPMorgan chairman title, after fight

    Reuters
    TAMPA, Florida (Reuters) - Jamie Dimon, chairman and chief executive of JPMorgan Chase & Co took an unusual step to fight off investors seeking more oversight of his activities - he hinted he might quit. And it worked. At the bank's annual meeting on...

    Tags: Jamie Dimon, Tampa, Annual and Special Corporate Meetings, Voting, Finance

  18. May 21, 2013 |Story| Reuters
  19. Ex-strategist can sue UBS as whistleblower: U.S. judge

    Reuters
    NEW YORK (Reuters) - UBS AG lost a bid Tuesday to dismiss a whistle-blower lawsuit by a former commercial mortgage-backed securities strategist who said he was fired for refusing to publish misleading research reports. U.S. District Judge Jesse Furman in...

    Tags: Derivative Securities, Labor Legislation, Mortgages, Manhattan (New York City), Financial Markets

  20. May 21, 2013 |Story| Los Angeles Times
  21. Guilty plea in KPMG insider-trading case

    A San Fernando Valley jeweler at the center of an insider-trading scandal pleaded guilty to a conspiracy charge and agreed to turn over $1.27 million in ill-gotten stock gains made from tips from a top auditor at accounting giant KPMG.
    A San Fernando Valley jeweler at the center of an insider-trading scandal pleaded guilty to a conspiracy charge and agreed to turn over $1.27 million in ill-gotten stock gains made from tips from a top auditor at accounting giant KPMG. Bryan Shaw, 52,...

    Tags: Punishment, College Sports, Skechers USA Incorporated, Lawyers, Insider Trading

  22. May 21, 2013 |Story| Reuters
  23. Democrats make last push in primary to be mayor of Harrisburg, Pennsylvania

    Reuters
    May 21 (Reuters) - The mayor of Harrisburg, Pennsylvania's cash-strapped capital, faces off on Tuesday against two fellow Democrats in a primary election that will likely determine who leads a city that has become a poster child for financial...

    Tags: ABC (tv network), Finance, Political Fundraising, Harrisburg (Dauphin, Pennsylvania), Elections

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