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U.S. Securities and Exchange Commission

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

Top U.S. Securities and Exchange Commission Articles

Displaying items 67-77
  • Gross' sudden Pimco exit may quicken outflows to rivals

    NEW YORK (Reuters) - The Bond King has lost his throne. Bill Gross, who built Pimco into a $2 trillion asset manager and became one of the world's best-known bond investors, quit the firm he co-founded on Friday after his flagship fund suffered its 16th...
  • 'Bond King' Bill Gross quits Pimco for Janus

    NEW YORK (Reuters) - Bill Gross, the bond market's most renowned investor, quit Pimco for distant rival Janus Capital Group Inc on Friday, the day before he was expected to be fired from the huge investment firm he co-founded more than 40 years ago....
  • How Bill Gross became too hot for Pimco to handle

    NEW YORK (Reuters) - Bill Gross' abrupt departure from Pimco, the giant bond firm that he co-founded more than four decades ago, was preceded by months of clashes between the star investor and the firm's executive committee that got progressively worse,...
  • No sign Gross departure linked to SEC probe: Allianz

    FRANKFURT (Reuters) - German insurer Allianz SE on Friday said there was no sign that the resignation of Pimco Chief Investment Officer Bill Gross was linked to a probe by the U.S. Securities and Exchange Commission (SEC) into an exchange traded fund...
  • Pimco bond ETF falls 0.3 percent on news of Bill Gross departure

    NEW YORK (Reuters) - Pimco's Total Return bond exchanged-traded fund fell 0.3 percent in heavy volume early Friday after news its manager Bill Gross will leave Pimco for rival asset management firm Janus Capital Group Gross's surprise departure from...
  • Barclays takes $77 million hit from British and U.S. fines

    LONDON/NEW YORK (Reuters) - British bank Barclays was hit with a combined $77 million in fines from British and U.S. regulators on Tuesday as the lender continues to be dogged by problems from its past. Barclays was fined 38 million pounds ($62 million)...
  • U.S. SEC claws back Saba Software ex-CEO's pay over fraud

    U.S. SEC claws back Saba Software ex-CEO's pay over fraud
    (Reuters) - The U.S. Securities and Exchange Commission on Wednesday said Saba Software Inc's former chief executive will repay $2.57 million of bonuses, incentive pay and profit from stock sales to the Silicon Valley company as part of a settlement...
  • Clermont woman among 3 charged in $25M Ponzi scheme

    Clermont woman among 3 charged in $25M Ponzi scheme
    A Clermont woman is among three people charged by the federal government with fraud in a $25 million investment scheme. An indictment unsealed last week alleges that Jenifer E. Hoffman, 37, of Clermont and John C. Boschert, 43, of Apopka, along with...
  • Tribune Media files documents in preparation for stock listing

    Tribune Media Co. has filed registration documents with the Securities and Exchange Commission in preparation for listing its stock on a major exchange. The initial Form 10 filing, which appeared on the SEC website Monday, contains financial statements,...
  • Alibaba IPO ranks as world's biggest after additional shares sold

    Alibaba IPO ranks as world's biggest after additional shares sold
    HONG KONG (Reuters) - Alibaba's initial public offering now ranks as the world's biggest at $25 billion, netting underwriters of the sale a more than $300 million windfall after the e-commerce giant and some shareholders parted with additional shares....
  • U.S. SEC to pay $30 million-plus in largest whistleblower award

    WASHINGTON (Reuters) - An anonymous tipster living abroad will be receiving more than $30 million, in the largest whistleblower award ever doled out by U.S. securities regulators as part of a program that aims to incentivize insiders to report wrongdoing....