January 11, 2012

Lyons man disputes SEC charges

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A Lyons man who federal securities regulators say tried to sell more than $500 billion in bogus securities through various social media sites, including LinkedIn , disputed the charges against him on Monday and said he shouldn\’t be the subject of any investigation .

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O.C. branding company reports raising $4.6 million

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Brand Affinity Technologies, an Irvine company that links professional athletes with product endorsements, has raised almost $4.6 million of an ongoing $7 million funding round, reports SoCalTech.com, citing a recent filing with the Securities and Exchange Commission.

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DOJ and SEC Use of Deferred and Non-prosecution Agreements in 2011

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The year 2011 is likely to be remembered as a time of sea change for how law enforcement deals with corporations.

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What Companies Should Expect from the SEC in the New Year

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Companies looking ahead at their 2012 agenda need to also consider an outside party\’s to-do list that may have an impact on their business strategy.

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Affine Systems gets another $5M for semantic video ad software

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Affine Systems , a San Francisco startup that makes technology that scans and analyzes the content in online video, has raised nearly $5 million in a new funding round, according to a regulatory filing.

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SEC to put U.S. audit watchdog under micros…

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U.S. securities regulators will question the top U.S. audit watchdog about his budget and policy priorities on Wednesday, in a rare public meeting designed to shed more transparency on the agency that has tightened the screws on the auditing profession over the past year.

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Apple\’s Cook: Highest Paid CEO of 2011?

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Apple chief Tim Cook might be the highest paid CEO in the U.S. in 2011, according to a proxy statement Apple filed with the Securities and Exchange Commission on Monday.

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Whistleblower Bill Draws Lobbying

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A bill that critics warn weakens whistleblower protections quietly moved through a House subcommittee last month and now has supporters like the U.S. Chamber of Commerce pushing the full committee to quickly pass it.

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Steinhardt Must Return $500,000 in Tainted Gains

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A Delaware judge has ordered hedge fund manager Michael Steinhardt to return $500,000 in profits earned from trades made using confidential information.

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SEC filings show Carlyle founders earned more than $134M last year

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View Photo Gallery - The District-based private equity firm is gearing up for a public stock offering, a move that would make it the second largest asset manager in the world.

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