GMI Ratings, a noted independent provider of research and ratings on environmental, social, governance (ESG) and accounting-related risks affecting the performance of public companies, has weighed in on...

The SEC charged eight individuals living in the Griffin, Ga., area for their involvement in an insider trading ring that generated more than $500,000 in illegal profits based on nonpublic information...

A recent Edison business confidence survey of more than 200 mid-cap UK listed companies of up to c  £2bn in market value reveals that, despite a grim domestic outlook, most are confident about the...

By Gene Marbach, SVP, Makovsky+Co. The SEC recently announced a second round of charges in an insider trading case involving former professional baseball players and the former top executive at a...

By Gene Marbach, SVP, Makovsky+Co. Federal securities class action activity decreased in the first six months of 2012 compared with 2011, according to Securities Class Action Filings—2012 Mid-Year...

By Gene Marbach, SVP, Makovsky+Co. The SEC recently announced Thomas P. Flanagan, a former Deloitte and Touche LLP partner, pleaded guilty to one count of criminal securities fraud for engaging in insider...

By Gene Marbach, SVP, Makovsky+Co. Headquartered in London, Edison Investment Research is a leading international investment research company. It has grown to a team of 90 including over 55 analysts...

By Gene Marbach, SVP, Makovsky+Co. The news of late is replete with stories about how investors are fleeing the stock market. In his inimitable fashion, William H. Gross, Managing Director, Pimco, wrote...

By Gene Marbach, SVP, Makovsky+Co. Part One Here Part Two Here We conclude our series on the recently-concluded Proxy Season ’12  with a review of recent trends in “say on pay” and corporate...

The SEC filed settled fraud charges, among others, against New York-based fund adviser Peter Siris in connection with its investigation into China Yingxia International, Inc., a now defunct Chinese...

By Gene Marbach, SVP, Makovsky+Co. Part One Here We continue with a look the recently-concluded Proxy Season ’12  with a review of recent trends in shareholder activism taken from a presentation...

By Gene Marbach, SVP, Makovsky+Co. Part Two Here My good friend, Keith Gottfried, Partner at the law firm of Alston + Bird (www.alston.com), shared with me the highlights of a presentation he recently...

By Gene Marbach, Group Vice President at Makovsky + Company Fees are paid by the companies and amount to $10 per shareholder annually and the platform has been vetted by the proper authorities such as...

While many companies, most notably those dealing in consumer products, have made tremendous strides in harnessing the power of social media (read any of my friend and fellow blogger Vicki Flaugher’s...

The SEC alleges that Apparao Mukkamala learned confidential information from board meetings and other communications about the anticipated acquisition of American Physicians Capital Inc. (ACAP) by another...

We’ve all learned over the past few years that having two executives fill the roles of chairman and CEO is considered a good corporate governance practice; however, an interesting study from GMI...

There are quite a few theories for forecasting the direction of the market.  The Hemline Theory is one. According to its devotees, when women’s hemlines are up, so goes the market and when they are...

Lately, I’ve noticed various news reports about the number of Americans fleeing the country for more favorable tax havens such as Singapore, Norway, Australia, among others. One such report noted that...

The SEC charged Tai Nguyen, the owner of the California-based equity research firm Insight Research, with insider trading. The charges stem from the SEC’s ongoing investigation of insider trading...

Recently, I caught up with Erin O’Reilly, a veteran in the business of stock surveillance.  Erin just opened the doors of Appomattox Partners and serves its principal. Prior to the firm’s debut, she...