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    Apr 11, 2013 |Story| Los Angeles Times
  1. 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. 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: U.S. Securities and Exchange Commission, Media Industry, Finance, Insider Trading, Scott London

  2. Jan 17, 2013 |Story| Los Angeles Times
  3. Sundance darlings eye alternative distribution platforms

    Not that long ago, premiering a star-driven Sundance Film Festival movie on a video-on-demand channel was an admission of failure. But last year's festival produced two huge on-demand hits, Richard Gere's crime drama "Arbitrage" and Kirsten Dunst's...

    Tags: Celebrities, Kirsten Dunst, Sweetwater, Lobbying, Media Industry

  4. Mar 15, 2013 |Story| Hartford Courant
  5. Cigna CEO's Compensation Last Year: $3.9 Million, Not Including $9 Million In Stock, Stock Options

    The Hartford Courant
    — Cigna Corp. CEO David M. Cordani had a 68 percent decline in pay last year with compensation totaling $3.97 million, not including $9 million in stock and stock options which have value in the future when the stocks vest and options are exercised,...

    Tags: U.S. Securities and Exchange Commission, Cigna Corporation, Corporate Officers, HealthSpring Inc., Stock Options

  6. Feb 5, 2013 |Story| Petoskey News
  7. US sues S&P over pre-crisis mortgage ratings

    WASHINGTON (AP) — The U.S. government is accusing the debt rating agency Standard & Poor's of fraud for giving high ratings to risky mortgage bonds that helped bring about the financial crisis.
    WASHINGTON (AP) — The U.S. government is accusing the debt rating agency Standard & Poor's of fraud for giving high ratings to risky mortgage bonds that helped bring about the financial crisis. The government filed a civil complaint late Monday...

    Tags: Credit Ratings, Finance, Economy, Business and Finance, Politics, Trials

  8. Feb 5, 2013 |Story| Los Angeles Times
  9. S&P helped cause financial crisis with faulty ratings, Feds allege

    WASHINGTON -- Standard & Poor's Corp. helped cause the financial crisis by misleading investors with falsely high credit ratings on bonds backed by toxic subprime mortgages, federal officials alleged Tuesday in announcing a civil suit against the company.
    WASHINGTON -- Standard & Poor's Corp. helped cause the financial crisis by misleading investors with falsely high credit ratings on bonds backed by toxic subprime mortgages, federal officials alleged Tuesday in announcing a civil suit against the company....

    Tags: Ratings, Credit Ratings, Automotive Equipment, Financial Markets, Finance

  10. Mar 17, 2013 |Column| Chicago Tribune
  11. Rosenthal: Illinois has to get down to business

    Its previous two chief executives went to prison on felony convictions. It just reached a settlement with the Securities and Exchange Commission over allegations of securities fraud. Not one of its peers has a worse credit rating. On top of around $8 billion in unpaid bills, it has a $96.8 billion unfunded pension liability and no plan to significantly deal with it.
    Its previous two chief executives went to prison on felony convictions. It just reached a settlement with the Securities and Exchange Commission over allegations of securities fraud. Not one of its peers has a worse credit rating. On top of around $8...

    Tags: Business, U.S. Securities and Exchange Commission, Pat Quinn, Finance, Illinois Governor

  12. Mar 15, 2013 |Story| Aberdeen News
  13. USCA concludes first fly-in of 2013 to D.C.

    The United States Cattlemen's Association (USCA) concluded its first fly-in of 2013 to Washington, D.C. recently. Members representing Virginia, Montana, North Dakota, Maryland, Kansas and Indiana made the trip to D.C. for the week's schedule of meetings....

    Tags: U.S. Congress, Financial Markets, U.S. Department of Agriculture, MF Global, Washington, DC

  14. Feb 5, 2013 |Story| Los Angeles Times
  15. Justice Department, state officials to announce Standard & Poor's suit

    WASHINGTON -- Justice Department officials and attorneys general from California and several other states were set Tuesday morning to announce a landmark civil suit against Standard & Poor's Corp. concerning the company's credit ratings of troubled mortgage-backed securities before the financial crisis.
    WASHINGTON -- Justice Department officials and attorneys general from California and several other states were set Tuesday morning to announce a landmark civil suit against Standard & Poor's Corp. concerning the company's credit ratings of troubled...

    Tags: Ratings, Credit Ratings, Finance, BP Plc, Trials

  16. Mar 14, 2013 |Story| Chicago Tribune
  17. State's money woes hit Chicago's credit rating

    The state’s troubled finances are now hitting City Hall in a more visible way, as a major agency downgraded Chicago’s credit rating as the city prepares to refinance some debt.
    Clout Street
    The state’s troubled finances are now hitting City Hall in a more visible way, as a major agency downgraded Chicago’s credit rating as the city prepares to refinance some debt. A $181 million bond issue backed with the city’s share...

    Tags: U.S. Securities and Exchange Commission, Ratings, Chicago City Hall, Credit Ratings, Finance

  18. Mar 11, 2013 |Story| Los Angeles Times
  19. 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: U.S. Securities and Exchange Commission, Interior Policy, Prosecution, Politics, Pension and Welfare

  20. Jan 28, 2013 |Story| Baltimore Sun
  21. New CEO named for Adams Express and Petroleum & Resources funds

    Mark E. Stoeckle has been named CEO of Baltimore-based Adams Express Co. and Petroleum & Resources Corp., replacing Douglas G. Ober, who last year announced his intention to retire. Stoeckle, 56, has been the chief investment officer of the U.S. Equities...

    Tags: Adams Express Company, Credit Ratings, Environmental Issues, Finance, Mutual Funds

  22. Feb 27, 2013 |Story| Los Angeles Times
  23. 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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Securities Photos
R; 1:40 running time Gere is the centerpiece in "Arbitr...
(September 13, 2012)
'Arbitrage' -- 3 stars
Performance Trust Investment Advisors, LLC (PTIA), an a...
(July 29, 2011)
John Wilhelm, Portfolio Manager, Performance Trust Investment Advisors, LLC.