Related Content: U.S. Securities and Exchange Commission

Hennion and Walsh News: Short FinancialETFs Slide After Short-selling Ban

BY Hennion and Walsh
Relevancy Score: 100
Thu Jan 29, 2009 at 12:05 PM

"ETFs will matter more than they ever have now through Oct 2," said Kevin Mahn, Managing Director of Hennion & Walsh, a New Jersey-based brokerage. "It gives the investor the ability to short through sector as opposed to a specific stock."READ»

ILYA BODNER | Comment

BROKERS & DEALERS

BY Ilya Bodner
Relevancy Score: 100
Wed Aug 12, 2009 at 11:48 AM

A broker is defined as anyone who makes securities transactions for others. (The exception to this is a bank.) A dealer is defined as someone who buys and ...READ»

SOCIAL RESPONSIBILITY | 2 comments

Mark Cuban Charged with Insider Trading

BY Brendan Collins
Relevancy Score: 100
Mon Nov 17, 2008 at 3:14 PM

Mark Cuban, occasional bad-boy owner of the Dallas Mavericks and dot-com billionaire, has been charged charges of insider trading by the SEC. Was losing money the reason behind the trade?READ»

ONLINE BUSINESS | Comment

I. Finding the Right Company for You: Team, Idea, Timing

BY Gregory J. Pleshaw
Relevancy Score: 100
Wed Dec 19, 2007 at 8:33 AM

Late in 1999, Time magazine named Jeff Bezos Person of the Year for revolutionizing global commerce. Ironically, Bezos led his commercial revolution from atop Amazon.com, a global company that has yet to turn a profit. Since that ...READ»

ENVIRONMENTAL ACTIVISM | 8 comments

Carbon Copy

BY David Roberts
Relevancy Score: 100
Wed Dec 19, 2007 at 8:26 AM

Disclose your greenhouse-gas emissions? Sounds crazy. Why Wal-Mart and P&G are doing it--and you should too.READ»

CARRIE ROGERS | Comment

To Review; Kelly G Rogers sued by the SEC in 2007

BY Kelly G Rogers Scam
Relevancy Score: 100
Tue Nov 3, 2009 at 1:30 PM

The United States Securities and Exchange Commission (“Commission”) files this Complaint against Defendants Global Finance & Investments, Inc.; Charles R. Davis, William F. Dippolito; Lucre Fund, LLC, JTA Enterprises, Inc.; William H. Clark; Level Par Investments, LLC; Kelly G. Rogers; Sterling Meridian, LLC; Ronald J. Linn; and Glenn Maske. READ»

BUSINESS | Comment

The SEC: What's Wrong And How To Fix It

BY Greg Selker
Relevancy Score: 85
Thu Jun 18, 2009 at 10:29 AM

Noted legal expert, Marc Morgenstern speaks his mind in this Selker Leadership interview on what is wrong with the SEC and potentially how it can be fixed, coming to the conclusion that the natural human tendency towards greater regulation is exactly the wrong approach to deliver safety, transparency and liquidity. This is part 1 of a 2 part seriesREAD»

LEADERSHIP MENTORING | 1 comment

Letter From the Editor

BY Mark N. Vamos
Relevancy Score: 84
Wed Dec 19, 2007 at 8:10 AM

Heroes and… others.READ»

NEWS + CURRENT EVENTS | Comment

File Under Strange

Relevancy Score: 82
Tue Oct 7, 2003 at 3:14 PM

Sun Microsystems CEO Scott McNealy has apparently apologized to the chairman of the Securities and Exchange Commission, according to The New York Post. Scott had earlier called the SEC's actions to clean up the debris from all those ...READ»

BACKDATING | Comment

Should RIM's CEOs Go to Jail?

BY Chris Dannen
Relevancy Score: 81
Wed Feb 18, 2009 at 4:46 PM

This week four of RIM's [RIMM] top executives settled options backdating cases with the SEC and the OSC, Canada's securities regulation agency. The Ontario-based cronies have agreed to pay almost $100 million CN in penalties, costs ...READ»

PHILANTHROPY | Comment

Confidence Is Not a Game

BY Ryan Underwood
Relevancy Score: 75
Wed Dec 19, 2007 at 12:40 AM

Who: Charles D. Niemeier

Title: Acting Chairman of the U.S. Public Company Accounting Oversight Board

Where: Washington, DC

Challenge: To restore integrity to corporate accounting (and rescue capitalism)READ»

INNOVATION | Comment

WorldVentures and YTB Comparison

BY Sharon Vitorillo
Relevancy Score: 70
Mon Jun 9, 2008 at 12:05 PM

There are two major players in the online travel agency business opportunity. I suggest either going with WorldVentures or YTB, you can't go wrong with either of the two. It does not matter if you have a primary career or another ...READ»

CARRIE ROGERS | Comment

Kelly G Rogers, Kelly Gordon Rogers, Kelly Rogers of Texas Indicted by Collin County Grand Jury

BY Kelly G Rogers Scam
Relevancy Score: 69
Tue Nov 3, 2009 at 1:20 PM

Kelly G Rogers of Frisco Texas was indicted by a Collin County Texas Grand jury on July 30th 2009, case number 380-81600-09. The attached mug shot was provided as public information by the Collin County Sherrifs office. For updated information as to the status of the proceedings, you can link to the following READ»

LEADERSHIP | Comment

The Courageous Few

BY Fast Company Staff
Relevancy Score: 67
Wed Dec 19, 2007 at 7:58 AM

Courage is leadership's essential ingredient, and we clearly suffer from a leadership deficit these days. So we celebrate this year's courageous few: the 10 rare leaders who did the right thing.READ»

INNOVATION | Comment

Qwest Finds Itself On Hold

BY Fara Warner
Relevancy Score: 64
Wed Dec 19, 2007 at 12:41 AM

Richard Notebaert is trying to make peace with Qwest's troubled past -- and lead the company into the future.READ»

ENTERTAINMENT | Comment

CEOs in the Slammer

BY Angus Loten
Relevancy Score: 61
Wed Dec 19, 2007 at 9:25 AM

This year, a record number of CEOs were ousted. Some were fired, some retired, and some even died. But a great number were also sent to prison, like the CEOs of Enron and WorldCom. What happens to company leaders when they run roughshod over their corporations?READ»

LEADERSHIP SKILLS | Comment

Updating the Agenda: MicroStrategy Inc.

BY Chuck Salter
Relevancy Score: 60
Wed Dec 19, 2007 at 12:27 AM

"If I had had more experience, if I was more careful, if I was more competent, maybe this wouldn't have happened." -- Michael Saylor, MicroStrategyREAD»

| Comment

Speedometer

BY Christine Canabou, Erika Germer, Heath Row
Relevancy Score: 59
Wed Dec 19, 2007 at 12:36 AM

Going Fast. Going Slow. Going Nowhere.READ»

CSR; CR; CORPORATE SOCIAL RESPONSIBILITY; RESPONSIBLE BUSINESS; BUSINESS ETHICS; CR; SUSTAINABILITY; SOCIAL RESPONSIBILITY; SUSTAINABLE DEVELOPMENT | Comment

The CSR Industry's Lost Cause

BY christine arena
Relevancy Score: 54
Mon Jul 13, 2009 at 1:29 PM

What does the 2009 CRO 100 Best Corporate Citizens list say about the current state of the CSR industry? Perhaps it’s time for a makeover. READ»

LEISURE | 2 comments

Batter Up

BY Jennifer Reingold
Relevancy Score: 49
Wed Dec 19, 2007 at 8:00 AM

The Senate's confirmation hearing for the man named to run the world's most important financial regulatory body was quite a softball game.READ»

LEADERSHIP | Comment

In The Hot Seat

BY Fara Warner
Relevancy Score: 49
Wed Dec 19, 2007 at 12:37 AM

Who: Lawrence A. ZimmermanTitle: Senior vice president and chief financial officerCompany: Xerox - Stamford, CTChallenge: Return a once-proud company to liquidity and profitablility by being conservative and persistent -- and never fudging the numbers again.READ»

ECONOMY | Comment

September Song For Wall Street

BY jose Roncal
Relevancy Score: 45
Thu Jan 1, 2009 at 9:38 PM

29 December 2008 Jose D. Roncal www.financialspeculation.com It wasn’t just autumn leaves that started falling last September; it was the entire investment banking system. When Lehman Brothers got into deep financial trouble and ...READ»

SELKER LEADERSHIP | Comment

Don’t Waste A Recession!, Top Silicon Valley CFO Speaks Out About the Economy, Madoff and Wall Street Executive Comp Limit

BY Greg Selker
Relevancy Score: 44
Mon Mar 23, 2009 at 5:27 PM

What does a top Silicon Valley CFO have to say about our economic crisis, Bernie Madoff and Wall Street executive compensation caps? Find out in this smart leadership interview with Ken Goldman, a long-term tech CFO with a well-deserved reputation for running one of the tightest financial ships in Silicon Valley. READ»

STARTUPS | Comment

This Job Adds Up

BY Gina Imperato
Relevancy Score: 43
Wed Dec 19, 2007 at 12:16 AM

How Inktomi makes finance fast.READ»

SHAWN BALDWIN | Comment

Credit Default Spreads

BY Shawn Baldwin
Relevancy Score: 43
Fri Mar 13, 2009 at 4:37 AM

Shawn Baldwin from CMG in Chicago discusses capital management and capital marketsREAD»

Topic: U.S. Securities and Exchange Commission