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    News and Articles on Securities And Exchange Commission

    Archives: Securities And Exchange Commission

    Integra LifeSciences to Present at the Piper Jaffray Health Care and JP Morgan SMid Cap Conferences in December  Nov 21, 2009
    These risks and uncertainties include market conditions and other factors beyond the Company's control and the economic, competitive, governmental, technological and other factors identified under the heading "Risk Factors" included in item IA of Integra's Annual Report on Form 10-K for the year ended December 31, 2008 and information contained in subsequent filings with the Securities and Exchange Commission could affect actual results. These forward-looking statements are made only as the date... (Primezone Releases)

    HCC Announces Intent to Redeem 1.3% Convertible Notes  Nov 21, 2009
    The types of risks and uncertainties which may affect the Company are set forth in its periodic reports filed with the Securities and Exchange Commission. Contact. (Primezone Releases)

    USA Technologies responds to dissidents  Nov 21, 2009
    Tirpak and another dissident shareholder, Craig Thomas, on Thursday filed a preliminary proxy statement with the Securities and Exchange Commission in preparation for asking USA Technologies shareholders to vote for three independent directors: Tirpak, a 40-year-old investor based in New York and London; Peter Michel, 66, the president and CEO of iSecuretrac Corp. (OTCB:ISEC), an Omaha, Neb. seller of products for electronically monitoring criminals; and Alan Gotcher, 59, the president of... (Philadelphia Business Journal, PA)

    Alleged Colo. Ponzi schemer offers defense  Nov 21, 2009
    Wragg that the Securities and Exchange Commission "jumped the gun" on the case. John Elway has nothing to do with Speed of Wealth, McKelvy said in a telephone conference call. (Philadelphia Business Journal, PA)

    Chicago investment firm ups Legg stake  Nov 21, 2009
    2 million shares as of Sept. 30, up from 200,750 shares on June 30, according to filings with the Securities and Exchange Commission. The value of Keeley s holdings grew accordingly, to $37. (Baltimore Business Journal, MD)

    AMD reverses top executives' pay cuts  Nov 21, 2009
    CEO Dirk Meyer's salary was raised to $900,000 from $720,000, Chief Operating Officer Robert Rivet's was raised to $650,000 from $552,500 and legal chief Tom McCoy's was put back to $544,000 from $462,400, the company said in a filing with the the Securities and Exchange Commission. The Sunnyvale chipmaker (NYSE:AMD) said bonuses are also likely to be affected because they are a percentage of the executives' salary, but didn't say how much that will amount to. (San Jose Business Journal, CA)

    Destiny Media Technologies to Present at 2nd Annual LD MICRO Conference at the Luxe Sunset Bel Air  Nov 21, 2009
    "Safe Harbor" statement under the Private Securities Litigation Reform Act of 1995: This release contains forward looking statements that are subject to risks and uncertainties, including, but not limited to, the impact of competitive products and pricing, product demand and market acceptance, new product development, reliance on key strategic alliances, availability of raw materials, the regulatory environment, fluctuations in operating results and other risks detailed from time to time in the... (Yahoo! Wire -- Entertainment News)

    Electronic Game Card, Inc. Files 10-Q for Period Ending September 30, 2009  Nov 21, 2009
    We caution that these statements by their nature involve risks and uncertainties, and actual results may differ materially depending on a variety of important factors, including, among others: the company's ability to meet its obligations under existing and anticipated contractual obligations; the company's ability to develop, market, sell and distribute desirable applications, products and services and to protect its intellectual property; the ability and willingness of third-party... (Yahoo! Wire -- Entertainment News)

    Blockbuster Announces Plans to Combine Class A Common Stock and Class B Common Stock; Company Notified by NYSE of Non-Compliance with Continued Listing Standards  Nov 21, 2009
    The risk factors set forth under "Item 1A. Risk Factors" in our Annual Reports on Form 10-K and other matters discussed from time to time in our filings with the Securities and Exchange Commission, including the "Disclosure Regarding Forward-Looking Information" and "Risk Factors" sections of our Quarterly Reports on Form 10-Q, among others, could affect future results, causing these results to differ materially from those expressed in our forward-looking statements. These risks and... (Yahoo! Wire -- Entertainment News)

    Hastings Entertainment Announces Must-Have Christmas Gifts of 2009  Nov 21, 2009
    The Investor Relations section of our web site contains press releases, a link to request financial and other literature and access our filings with the Securities and Exchange Commission. Buzz up. (Yahoo! Wire -- Entertainment News)

    SIRIUS XM to Broadcast 'Doctor Radio Reports: What Every Woman Needs To Know About Mammograms'  Nov 21, 2009
    Additional factors that could cause SIRIUS' and XM's results to differ materially from those described in the forward-looking statements can be found in SIRIUS' Annual Report on Form 10-K for the year ended December 31, 2008 and XM's Annual Report on Form 10-K for the year ended December 31, 2008, which are filed with the Securities and Exchange Commission (the "SEC") and available at the SEC's Internet site (). The information set forth herein speaks only as of the date hereof, and SIRIUS and... (Yahoo! Wire -- Entertainment News)

    Odyssey Marine Exploration Acquires Stake in Venture to Pursue Exploration of Deep-Ocean Gold and Copper Deposits  Nov 21, 2009
    Certain factors that could cause results to differ materially from those projected in the forward-looking statements are set forth in "Risk Factors" in Part I, Item 1A of the Company's Annual Report on Form 10-K for the year ended December 31, 2008, which has been filed with the Securities and Exchange Commission. Contact. (Yahoo! Wire -- Entertainment News)

    Santa Goes Digital: AT&T Connects Families With Holiday Wishes and Fun From the North Pole Via Texting and U-verse TV  Nov 21, 2009
    A discussion of factors that may affect future results is contained in AT&T's filings with the Securities and Exchange Commission. AT&T disclaims any obligation to update or revise statements contained in this news release based on new information or otherwise. (Yahoo! Wire -- Entertainment News)

    Lorillard will replace CEO after 2010  Nov 21, 2009
    In a filing with the Securities and Exchange Commission on Thursday, the Greensboro-based tobacco company said it will not renew Orlowsky s contract when it expires Dec. 31, 2010. The company said its board of directors will weight all relevant options. (Triad Business Journal, NC)

    Cephalon, Barr settle Fentora dispute  Nov 21, 2009
    NEW YORK Cephalon Inc. will give Barr Pharmaceuticals Inc. a license to sell a generic version of the pain drug Fentora in 2018 as part of a patent lawsuit settlement, according to a Securities and Exchange Commission filing Thursday. In the filing, Cephalon said it will give Barr a non-exclusive, royalty-free right to sell a generic version of Fentora in October of 2018. (Yahoo News -- Pharmaceutical Industry News)

    Global Defense unveils IPO  Nov 21, 2009
    filed its IPO intentions with the Securities and Exchange Commission in September, saying it expected to raise $75 million from the initial sale. The company will use the proceeds from the offering to repay debt and for general corporate purposes, including future acquisitions. (FCW.com)

    Investors to Goldman: Be less greedy  Nov 21, 2009
    The U.S. Securities and Exchange Commission is pushing a proposal to encourage more participation in shareholder proxy votes and give large investors more say in selecting boards of directors. Also in msnbc. (MSNBC -- Business)

    Archipelago shares leap in 1st day of trading  Nov 21, 2009
    The subscription-based online educational programs provider said earlier in a Securities and Exchange Commission filing that 6. 3 million shares of its common stock priced at $16. (KGW Northwest NewsChannel 8, OR -- Business)

    Monster, RBC Capital Resolve Lawsuit Over $66 Million Auction-Rate Dispute  Nov 21, 2009
    Royal Bank agreed to repurchase auction-rate securities from investors with account values of as much as $10 million, the U.S. Securities and Exchange Commission said in October 2008. The Toronto-based company said it also would buy securities held by its U.S. retail brokerage clients with accounts of $25 million or less. (Bloomberg -- Canada)

    Freddie Mac May Face SEC Suit For Errors  Nov 21, 2009
    The Securities and Exchange Commission gave the McLean-based company what is known as a Wells notice, informing the board of directors that the agency might file a civil complaint, seeking a permanent injunction and a fine, over the company's accounting errors. Freddie Mac has acknowledged that it misstated profits by $5 billion over three years, 2000 through 2002. (Yahoo News -- Corporate Reform)

    SEC Vote Prohibits Mutual Funds From Directed Brokerage  Nov 21, 2009
    The Securities and Exchange Commission yesterday unanimously approved a new rule that bars mutual fund companies from steering trades to brokers who promise to promote the funds in exchange for stock and bond business ... The Securities and Exchange Commission ruled that mutual fund portfolio managers must disclose more information about their pay structures. (Yahoo News -- Corporate Reform)

    De La Costa Restaurant investor sues former partner for $3M  Nov 21, 2009
    Mr. Hyatt still faces civil charges from the Securities and Exchange Commission for allegedly misappropriating $5. 4 million of investor funds. (Crain's Chicago Business)

    AngloGold Ashanti Announces Acquisition of Shares in Commander Goldfields Ltd.  Nov 21, 2009
    For a discussion of such factors, refer to AngloGold Ashanti's annual report for the year ended 31 December 2008, which was distributed to shareholders on 27 March 2009 and the company's annual report on Form 20-F, filed with the Securities and Exchange Commission in the United States on May 5, 2009 as amended on May 6, 2009. AngloGold Ashanti undertakes no obligation to update publicly or release any revisions to these forward-looking statements to reflect events or circumstances after today's... (CCNMatthews Press Releases)

    Studio featured on 'Queer Eye' ready to sell its shares  Nov 21, 2009
    Its filing with the Securities and Exchange Commission placed the authorized share volume at 30 million shares of common stock and 10 million shares of preferred stock at undisclosed values. The planned IPO "is something we've been working toward. We're excited about our potential," Chief Financial Officer David Barnard said. (Yahoo News -- Queer Eye for the Straight Guy)

    AMD execs salaries back to normal  Nov 21, 2009
    On Nov. 16, the board of directors compensation committee reinstated annual base salaries of CEO Derrick Meyer from $720,000 to his previous salary of $900,000; Executive Vice President Robert Rivet, from $552,500 to $650,000; and Executive Vice President Thomas McCoy from $462,400 to $544,000, according to a filing with the U.S. Securities and Exchange Commission. California-based AMD is one of the largest employers in Austin with about 2,000 workers. (Austin Business Journal, TX)

    Capital Bank Corporation Declares Cash Dividend on Common Stock  Nov 21, 2009
    Additional factors that could cause actual results to differ materially are discussed in Capital Bank Corporation's filings with the Securities and Exchange Commission, including without limitation its Annual Report on Form 10-K, its Quarterly Reports on Form 10-Q and its Current Reports on Form 8-K. Capital Bank Corporation does not undertake a duty to update any forward-looking statements in this press release. Contact. (Primezone Releases)

    Ingen Enters Hospital and Therapy Markets With Expected Revenue Increase  Nov 21, 2009
    Important factors that may cause actual results to differ are and will be set forth in the company's periodic filings with the U.S. Securities and Exchange Commission. Contact. (Primezone Releases)

    da Vinci Approved in Japan  Nov 21, 2009
    These forward-looking statements should, therefore, be considered in light of various important factors, including the following: the impact of the global economic recession and tightening credit market and related impact on health care spending; timing and success of product development and market acceptance of developed products; regulatory approvals, clearances and restrictions; guidelines and recommendations in the health care and patient communities; intellectual property positions and... (Primezone Releases)

    LogMeIn Announces Pricing of Secondary Offering  Nov 20, 2009
    A registration statement relating to shares of the common stock of LogMeIn has been declared effective by the Securities and Exchange Commission. This press release shall not constitute an offer to sell or the solicitation of an offer to buy, nor shall there be any sale of these securities in any state in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or jurisdiction. (Primezone Releases)

    Corporate bribery: Ungreasing the wheels  Nov 20, 2009
    The two American agencies responsible for enforcing the FCPA, the Department of Justice (DoJ) and the Securities and Exchange Commission, have both made clear their intention to be even fiercer under the new administration than they were under the previous one. We will be intensely focused on rooting out foreign bribery in your industry. (The Economist)

    Financial Regulation Overhaul Proposals in U.S.: Side-by-Side Comparison  Nov 20, 2009
    The Fed would be part of a council of regulators, along with the FDIC, the Comptroller of the Currency and the Securities and Exchange Commission, which would have enhanced powers to identify companies that need tighter regulation and more capital. In conflict with Obama, Frank agrees with FDIC Chairman that firms should pay into a resolution fund -- before any failure. (Bloomberg -- US)

    Shareholders eye USA Technologies board  Nov 20, 2009
    Shareholder Advocates for Value Enhancement which was formed by Bradley Tirpak, who leads it, and Craig Thomas filed a preliminary with the Securities and Exchange Commission Thursday. The two said in SAVE s press release that they expect to begin soliciting votes for their candidates once the SEC approves their filing. (Philadelphia Business Journal, PA)

    Wragg of Mantria: SEC jumped the gun  Nov 20, 2009
    principal Troy Wragg said during a Thursday afternoon interview that he is confident he and his company will be vindicated of any wrongdoing in the Securities and Exchange Commission case alleging a Ponzi scheme. Wragg, 28, said he and colleague Amanda Knorr, 26, both Temple University graduates, were devastated when the SEC filed a civil lawsuit in Denver Monday. (Philadelphia Business Journal, PA)

    Charity seeks compensation  Nov 20, 2009
    Citigroup Global Markets Inc., whose auction rate securities had been purchased on St. Anthony's behalf, agreed in a settlement with the Securities and Exchange Commission and New York Attorney General Andrew Cuomo in August 2008 to buy back the securities from certain "retail clients." That did not, however, include St. Anthony. According to foundation executives I talked to, when they turned to their financial counselor of 20 years, SCM Advisors LLC of San Francisco, they were told,... (San Francisco Chronicle -- Business)

    PMFG, Inc. (Parent of Peerless Mfg. Co.) Announces Preliminary Results of Annual Stockholders' Meeting Held on November 19, 2009  Nov 20, 2009
    Final results will be available in PMFG's Quarterly Report on Form 10-Q for the period ending December 31, 2009, to be filed with the Securities and Exchange Commission ... Other important information regarding factors that may affect the Company's future performance is included in the public reports that the Company files with the Securities and Exchange Commission, including the information under Item 1A. "Risk Factors" in our Annual Report on Form 10-K for the fiscal year ended June 30, 2009.... (Primezone Releases)

    Ex-Pequot Worker Told Psychologist That Samberg Sought Insider Information  Nov 20, 2009
    Samberg, 68, and Pequot, once the worlds biggest hedge- fund manager, told investors in August that the Securities and Exchange Commission had sent them a so-called Wells notice, warning it may bring civil claims against them after an investigation of their trades in Microsoft, the worlds biggest software maker. Such allegations are without merit and would be defended vigorously, the firm wrote in the letter. (Bloomberg -- US)

    First Community files public offering  Nov 20, 2009
    The common stock and preferred securities would be part of a rights offering to current stockholders and packaged as a unit, according to a filing with the Securities and Exchange Commission. The banking company has not yet released details of the components of each unit, how many units it plans to sell or the price they would sell for. (Tampa Bay Business Journal, FL)

    Galleon Insider Choo-Beng Lee Told Judge He Was Tipped by Source in Asia  Nov 20, 2009
    One of Lees sources was an employee at Market Street Partners, a San Francisco-based investor relations consulting firm that did work for , according to a Securities and Exchange Commission complaint. That person, who hasnt been charged, is Shammara Hussain, according to a person familiar with the matter. (Bloomberg -- US)

    F-Origin on trail for $1M VC  Nov 20, 2009
    a Morrisville company developing technology for touch screens, is raising $1 million in debt financing, according to documents filed with the Securities and Exchange Commission. The company has raised $432,224 of the debt financing, according to the filing. (Triangle Business Journal)

    AMCORE Bank's New Glarus and Belleville Branches Sold to Union Bank & Trust Company  Nov 20, 2009
    This news release contains, and our periodic filings with the Securities and Exchange Commission and written or oral statements made by the Company's officers and directors to the press, potential investors, securities analysts and others will contain, forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Act of 1934, and the Company intends that such forward-looking statements be subject to the safe harbors created thereby... (Primezone Releases)

    Territorial execs sign 3-year agreements  Nov 20, 2009
    Allan Kitagawa, chairman of the board, president and CEO; Vernon Hirata, vice chairman of the board, co-chief operating officer, general counsel and corporate secretary; and Ralph Nakatsuka, vice chairman of the board and co-chief operating officer, signed separate employment agreements for three-year terms, according to a filing with the U.S. Securities and Exchange Commission. Kitagawa will receive a base salary of $801,954; Hirata and Nakatsuka each will receive base salaries of $282,555. (Pacific Business News, HI)

    Buffett's Berkshire Secures $8B Loan for BNSF Deal  Nov 20, 2009
    Berkshire Hathaway Inc. said in documents filed with the Securities and Exchange Commission Thursday that it signed the financing deal with JPMorgan Chase and Wells Fargo on Wednesday. Buffett has said Berkshire, which is based in Omaha, plans to borrow half of the $16 billion cash needed for the deal, and pay back the loan over three years. (ABC News -- Wire)

    Tix Corporation Addresses Recent Stock Volatility  Nov 20, 2009
    These risks and uncertainties are discussed in the Company's various filings with the Securities and Exchange Commission. The Company assumes no obligation to update these forward-looking statements. (Yahoo! Wire -- Entertainment News)

    Outdoor Channel Holdings Announces Management Changes at its Winnercomm Inc. Business Segment  Nov 20, 2009
    Such factors include but are not limited to: (1) service providers discontinuing or refraining from carrying Outdoor Channel; (2) a decline in the number of viewers from having Outdoor Channel placed in unpopular cable or satellite packages, or increases in subscription fees, established by the service providers; (3) liabilities resulting from an aerial camera falling; (4) a decrease in advertising revenue as a result of a deterioration in general economic conditions; (5) managing the company's... (Yahoo! Wire -- Entertainment News)

    Facebook Common Stock Value Jumps 42% to $9.5 Billion on Private Market  Nov 20, 2009
    The U.S. Securities and Exchange Commission allows trading in shares of private companies, as long as investors meet certain , such as having an annual income of more than $200,000 or a minimum net worth of $1 million, said Tom Kim, a lawyer specializing in executive compensation in Palo Alto, California. Transaction Volume. (Bloomberg)

    Harbinger shrinking at Times  Nov 20, 2009
    64 percent of the Times Co.'s publicly traded shares, according to a filing with the Securities and Exchange Commission yesterday ... 64 percent of the Times Co.'s publicly traded shares, according to a filing with the Securities and Exchange Commission yesterday. (New York Post -- Business)

    Tygrett will seek re-election  Nov 20, 2009
    He has served as general attorney for the U.S. Securities and Exchange Commission and as law clerk for U.S. District Judge Joe Estes, chief judge for the Northern District of Texas. Tygrett was in private practice for more than 30 years prior to being elected to the bench. (Terrell Tribune, TX)

    Ruling in BofA Class Action Opens Treasure Trove of Documents  Nov 19, 2009
    His order will give the plaintiffs access to the mountains of documents that BofA and related defendants have already turned over to Congress, the Securities and Exchange Commission, the New York attorney general and other government entities scrutinizing BofA's acquisition of Merrill Lynch. In addition, lawyers for the shareholders will be able to use transcripts of depositions taken by other investigators. (Law.com)

    SEC says Mantria ran massive fraud  Nov 19, 2009
    A Pennsylvania company that wrestled control of a Hawai'i biochar manufacturing firm from local owners two months ago has been accused by the U.S. Securities and Exchange Commission of running a $30 million Ponzi scheme. The SEC filed charges on Monday against Mantria Corp. along with two of Mantria's executives and two people affiliated with the company, accusing them of selling fraudulent and unregistered securities. (Honolulu Advertiser)

    Study: Women hold only 10% of exec spots  Nov 19, 2009
    It used information that publicly traded companies filed to the U.S. Securities and Exchange Commission, up to May 15. The research found that nearly a third of the state s biggest companies 118 of the 400 have no women at the top, either on their boards or in their executive offices. (Sacramento Business Journal, CA)

    Bio-Clean Inc. is Proud to Announce Its Sponsorship of Ultimate Fighter Razor Rob McCullough  Nov 19, 2009
    This news release contains "forward-looking statements, as that term is defined in Section 27A of the United States Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934. Statements in this press release which are not purely historical are forward-looking statements and include any statements regarding beliefs, plans, expectations or intentions regarding the future. Such forward-looking statements include, among other things, the development, costs and results of our... (Yahoo! Wire -- Entertainment News)

    Blockbuster Expands Online Game Rental Pilot to Seattle  Nov 19, 2009
    This press release should be read in conjunction with Blockbuster's most recent annual reports on Form 10-K, quarterly Forms 10-Q and other reports on file with the Securities and Exchange Commission, which contain a more detailed discussion of each company's business including risks and uncertainties that may affect future results. Blockbuster does not undertake to update any forward looking statements. (Yahoo! Wire -- Entertainment News)

    Troubled developer Deckelbaum resigns from OptimumBank  Nov 19, 2009
    The bank holding company (NASDAQ: OPHC) said in a Securities and Exchange Commission filing late Tuesday that Deckelbaum resigned for personal reasons, and not as the result of any disagreement with the company. Deckelbaum has been a director of OptimumBank Holdings since 2004, and a director of its banking subsidiary since 2000. (South Florida Business Journal, FL)

    Susan Boyle's "I Dreamed a Dream" is Amazon Music's Largest Global CD Pre-Order  Nov 19, 2009
    com's filings with the Securities and Exchange Commission, including its most recent Annual Report on Form 10-K and subsequent filings. About Sony Music Entertainment. (Yahoo! Wire -- Entertainment News)

    Creditors’ claims against Lehman could reach $1 trillion, CEO says  Nov 19, 2009
    According to the presentation made to the court and filed with the Securities and Exchange Commission, Lehman s private equity and principal investments had a market value of $8. 3 billion on June 30, down from $14. (Boston Globe)

    Few women on boards of state's largest firms  Nov 19, 2009
    Sadly, the numbers haven't changed much since we began this annual study, which relies on data sifted from mandatory reports to the Securities and Exchange Commission. The data shows that in California's top 400, women hold only 10. (San Francisco Chronicle -- Opinion)

    Freddie Mac May Face SEC Suit For Errors  Nov 19, 2009
    The Securities and Exchange Commission gave the McLean-based company what is known as a Wells notice, informing the board of directors that the agency might file a civil complaint, seeking a permanent injunction and a fine, over the company's accounting errors. Freddie Mac has acknowledged that it misstated profits by $5 billion over three years, 2000 through 2002. (Yahoo News -- Corporate Reform)

    SEC Vote Prohibits Mutual Funds From Directed Brokerage  Nov 19, 2009
    The Securities and Exchange Commission yesterday unanimously approved a new rule that bars mutual fund companies from steering trades to brokers who promise to promote the funds in exchange for stock and bond business ... The Securities and Exchange Commission ruled that mutual fund portfolio managers must disclose more information about their pay structures. (Yahoo News -- Corporate Reform)

    Viasystems files merger registration  Nov 19, 2009
    has filed a registration statement with the Securities and Exchange Commission for its of and merger with. The registration statement, filed Thursday, includes Merix's preliminary proxy statement for a special meeting of Merix shareholders to consider the merger and also constitutes a prospectus of Viasystems. (St. Louis Business Journal, MO)

    Cephalon, Barr settle Fentora dispute  Nov 19, 2009
    NEW YORK Cephalon Inc. will give Barr Pharmaceuticals Inc. a license to sell a generic version of the pain drug Fentora in 2018 as part of a patent lawsuit settlement, according to a Securities and Exchange Commission filing Thursday. In the filing, Cephalon said it will give Barr a non-exclusive, royalty-free right to sell a generic version of Fentora in October of 2018. (Yahoo News -- Pharmaceutical Industry News)

    Studio featured on 'Queer Eye' ready to sell its shares  Nov 19, 2009
    Its filing with the Securities and Exchange Commission placed the authorized share volume at 30 million shares of common stock and 10 million shares of preferred stock at undisclosed values. The planned IPO "is something we've been working toward. We're excited about our potential," Chief Financial Officer David Barnard said. (Yahoo News -- Queer Eye for the Straight Guy)

    Magma Releases Hydra 1.1 - Enhanced Hierarchical Design Planning Solution Adds Out-of-the-Box Reference Flows and Advanced Technology to Deliver Better Floorplans Faster  Nov 19, 2009
    Further discussion of these and other potential risk factors may be found in Magma's public filings with the Securities and Exchange Commission (). The company undertakes no additional obligation to update these forward-looking statements. (Primezone Releases)

    Investors Real Estate Trust Announces Increase in Regular Quarterly Common Share Distribution, and Declares Series A Preferred Share Distribution  Nov 19, 2009
    The Company has filed a registration statement with the Securities and Exchange Commission to register the number of common shares necessary to meet distribution reinvestment elections. Related Quotes. (Primezone Releases)

    Financial Institutions Declares Cash Dividend  Nov 19, 2009
    There are a number of important factors that could affect the Company's forward-looking statements which include the availability of cash to continue to pay a dividend, the impact of regulatory restrictions, and other factors discussed in the Company's filings with the Securities and Exchange Commission. The Company undertakes no obligation to revise these statements following the date of this press release. (Primezone Releases)

    PennantPark Investment Corporation Announces Financial Results for Quarter and Year Ended September 30, 2009  Nov 19, 2009
    Actual results may differ materially from those in the forward-looking statements as a result of a number of factors, including those described from time to time in filings with the Securities and Exchange Commission. The Company undertakes no duty to update any forward-looking statement made herein. (Primezone Releases)

    StoneMor Partners L.P. Prices Public Offering of 1,275,000 Common Units  Nov 19, 2009
    The common units are being offered and sold pursuant to an effective shelf registration statement on Form S-3 previously filed with the Securities and Exchange Commission (the "SEC"). The offering may be made only by means of a prospectus supplement, filed with the SEC, and the related base prospectus. (Primezone Releases)

    Auditor general calls for ban of swap deals like Erie's  Nov 19, 2009
    The FBI, Securities and Exchange Commission and Internal Revenue Service are investigating swaps nationwide, according to public records. Wagner said he gave his report to state and federal law enforcement authorities and regulatory agencies. (Erie Times-News, PA)

    NetEase.com Reports Third Quarter 2009 Unaudited Financial Results  Nov 19, 2009
    The accuracy of these statements may be impacted by a number of business risks and uncertainties that could cause actual results to differ materially from those projected or anticipated, including risks related to: the risk that NetEase will not be successful in its product diversification efforts, including its focus on item- and fee-based games and entry into strategic licensing arrangements; the risk that the online game market will not continue to grow or that NetEase will not be able to... (Yahoo! Wire -- Entertainment News)

    SEC accuses Tvia exec of misrepresenting sales  Nov 19, 2009
    (11-18) 15:05 PST -- A former executive of Tvia Inc. of Santa Clara inflated the company's revenue by $5 million by making side deals with customers and hiding them from company officials and auditors, according to the Securities and Exchange Commission. Get Quote. (San Francisco Chronicle -- Business)

    US: SEC steps up enforcement  Nov 19, 2009
    The US Securities and Exchange Commission (SEC) opened more inquiries, brought claims faster and doubled sanctions in the latest fiscal year, it said yesterday. Fines and orders to forfeit illegal profits jumped to $2. (Business Report, South Africa)

    * US introduces new task force to root out financial fraud  Nov 19, 2009
    Meanwhile the Securities and Exchange Commission said it had returned about US$6. 6 billion to unhappy investors since 2002. (Taipei Times, Taiwan -- World)

    SEC ends its investigation of iBasis  Nov 18, 2009
    Burlington-based , a wholesale carrier of international phone calls, said the Securities and Exchange Commission has ended its investigation of the company s stock-option grants. According to a news release, the SEC staff does not intend to recommend any enforcement action. (Boston Globe)

    Obamaannounces task force to fight financial crime  Nov 18, 2009
    The task force will be chaired by Holder and will include the Justice, Treasury and Housing and Urban Development departments and the Securities and Exchange Commission, among other government agencies. No big enforcement cases were unveiled as part of the task force announcement. (MSNBC -- Politics)

    Computer security co. Fortinet plans IPO this week  Nov 18, 2009
    2 million, according to a filing with the Securities and Exchange Commission. The company will not receive proceeds from those shares. (Yahoo News -- Technology)

    Buffett invests $96 mil in Phoenix waste firm  Nov 18, 2009
    Billionaire Warren Buffett, who likes to invest in companies he considers undervalued, has purchased 3,625,000 shares in Phoenix-based Republic Services Inc, according to a U.S. Securities and Exchange Commission report filed Monday. He spent about $96 million to buy the shares, which represent about one percent of the company's outstanding shares. (AZCentral -- Business)

    Ponzi scheme entangled Waipahu firm  Nov 18, 2009
    In a civil lawsuit filed Monday in federal court in Denver, the U.S. Securities and Exchange Commission accused Mantria Corp. of Bala Cynwyd, Pa. and its principals, Troy Wragg, 27, and Amanda Knorr, 26, of raising $122 million from more than 300 investors nationwide in a dozen fraudulent securities offerings. (Pacific Business News, HI)

    Frank wants tougher derivatives rules  Nov 18, 2009
    WASHINGTON - The Commodity Futures Trading Commission and Securities and Exchange Commission need to toughen up their approach on new regulations for clearing derivatives trades, US Representative Barney Frank said yesterday. Frank, a Massachusetts Democrat, has been at odds with SEC chairwoman Mary Schapiro and CFTC chairman Gary Gensler over his proposal to require them to determine case-by-case which types of derivatives contracts should be sent through regulated clearinghouses. (Boston Globe)

    Soros Hedge Fund Takes Stake in Ford Motor  Nov 18, 2009
    3 million shares of Ford Motor that were worth about $53 million, according to a regulatory filing made with the Securities and Exchange Commission on Tuesday. The news sent Ford shares surging to $9 on Tuesday, the stock's highest point since October 2007. (ABC News -- Wire)

    Buffett Ups Wal-Mart Holdings; Rebalances Sectors  Nov 18, 2009
    Buffett's investments, revealed in a quarterly filing with the Securities and Exchange Commission, were worth $56. 6 billion on Sept. 30, 15. (SmartMoney)

    Hampton Roads Bankshares Defers Dividends on TARP Preferred Stock  Nov 18, 2009
    For an explanation of additional risks and uncertainties associated with forward-looking statements, please refer to the Company's Annual Report on Form 10-K for the year ended December 31, 2008, and other reports filed and furnished to the Securities and Exchange Commission. The Company undertakes no obligation to update any forward-looking statements made in this press release and this release shall not constitute an offer to sell or the solicitation of an offer to buy securities in any... (Primezone Releases)

    Achillion Receives Notice From NASDAQ  Nov 18, 2009
    Nov. 17, 2009 (GLOBE NEWSWIRE) -- Achillion Pharmaceuticals, Inc. (Nasdaq: - ), a leader in the discovery and development of small molecule drugs to combat the most challenging infectious diseases, today reported that it received notification from the NASDAQ Listings Qualification Department that the Company's stockholders' equity of $7,214,000, as reported in the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 2009 that it filed with the Securities and Exchange... (Primezone Releases)

    Capstone Therapeutics Announces Transfer to Nasdaq Capital Market  Nov 18, 2009
    These risks include: delays in obtaining or inability to obtain FDA, institutional review board or other regulatory approvals of pre-clinical or clinical testing; unfavorable outcomes in our pre-clinical and clinical testing; the development by others of competing technologies and therapeutics that may have greater efficacy or lower cost; delays in obtaining or inability to obtain FDA or other necessary regulatory approval of our products; our inability to successfully and cost effectively... (Primezone Releases)

    Evotec Wins German Government Research Grant  Nov 18, 2009
    Our most recent Annual Report on Form 20-F, filed with the Securities and Exchange Commission, and other documents filed with, or furnished to the Securities and Exchange Commission, contain additional factors that could impact our businesses and financial performance. We expressly disclaim any obligation or undertaking to release publicly any updates or revisions to any such statements to reflect any change in our expectations or any change in events, conditions or circumstances on which any... (Primezone Releases)

    BJ's Restaurants Opens in Hurst, Texas  Nov 18, 2009
    Factors that might cause such differences include, but are not limited to: (i) the effect of recent credit and equity market disruptions on our ability to finance our continued expansion on acceptable terms, (ii) our ability to manage an increasing number of new restaurant openings, (iii) construction delays, (iv) labor shortages, (v) minimum wage increases, (vi) food quality and health concerns, (vii) factors that impact California, where 49 of our current 92 restaurants are located, (viii)... (Primezone Releases)

    Flushing Financial Corporation Declares Quarterly Dividend of $0.13 Per Share  Nov 18, 2009
    Forward-looking information is inherently subject to risks and uncertainties, and actual results could differ materially from those currently anticipated due to a number of factors, which include, but are not limited to, risk factors discussed in the Company's Annual Report on Form 10-K for the year ended December 31, 2008, and in other documents filed by the Company with the Securities and Exchange Commission from time to time. Forward-looking statements may be identified by terms such as... (Primezone Releases)

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