Ex-Citigroup execs may face SEC charges
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WASHINGTON -- The Securities and Exchange Commission is considering recommending charges against two former Citigroup Inc. employees and a current employee, the financial-services giant said Friday.
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The accused include a Morgan Stanley compliance official, a UBS research executive and traders for hedge funds and brokerage firms.
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Citigroup said that federal regulators had warned the bank that an investigation of its asset management unit could result in an enforcement action.
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The former chief executive and others were accused of committing accounting fraud to meet earnings forecasts and investor expectations.
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The German and French financial watchdogs said on Thursday they were looking into recent trading by US financial services group Citigroup (CN: Quote, Profile, Research) in European government bond and derivative markets.
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Employees of some of Wall Street's top  banks were among more than a dozen people charged on Thursday  in what authorities called one of the most pervasive insider  trading rings since the 1980s, accused of using leaked  information and even blackmail to make millions of dollars.
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DENVER -- The Wall Street Journal is reporting that Qwest Communications&#39; former chief executive could soon face civil charges for his alleged role in an accounting scandal at the company.
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Federal prosecutors are strongly  considering criminal charges against former executives of  Broadcom Corp., Apple Inc., and KLA-Tencor Corp., related to  the backdating of stock options, the Wall Street Journal  reported on Friday, citing people familiar with the situation.
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Morningstar Inc., the mutual fund and stock research provider, on Friday said it may face US Securities and Exchange Commission civil charges over incorrect data it published about a mutual fund.
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Citigroup Inc., the world&#39;s largest bank, said the US Securities and Exchange Commission may take enforcement action against Thomas Jones, the head of the company&#39;s investment-management unit.
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Citigroup Inc. was sued by Bank of New York Co. over the sale of securities linked to Enron&#39;s creditworthiness, a newspaper reported Thursday.
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Six former executives of Enron Corp. and Merrill Lynch &amp; Co. on Tuesday were accused by a federal prosecutor of disguising a $7 million loan as a sale of energy-producing barges to &quot;help Enron out of a jam.
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Employees of some of Wall Street's top banks were among more than a dozen people charged on Thursday in what authorities called one of the most pervasive insider trading rings since the 1980s, accused of using leaked information and even blackmail to make millions of dollars.
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Citigroup Inc , Merrill Lynch & Co  and JPMorgan Chase & Co  may face larger fourth-quarter write-offs of fixed-income securities than previously expected, and Citigroup may have to slash its dividend 40 percent to preserve capital, according to a Goldman Sachs & Co analyst.
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Morningstar Inc., the mutual fund and  stock research provider, on Friday said it may face U.S.  Securities and Exchange Commission civil charges over incorrect  data it published about a mutual fund.
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Citigroup Inc. C.N faces a lawsuit  from angry investors who allege they were defrauded in a  "massive scheme of deception" when they bought securities tied  to the credit-worthiness of Enron Corp. ENRNQ.PK.
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Business News, NEW YORK, Three senior Citigroup Inc. (CN: Quote, Profile, Research) executives are leaving the company, after being found partially responsible for last month&#39;s forced closure of Citigroup&#39;s