S.E.C. Warns Amex Leaders It May File Civil Charges
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The S.E.C. notified the top three executives of the American Stock Exchange that they may face civil charges of failing to properly enforce the exchange's rules.
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American Express Co. has filed suit against Visa, MasterCard and eight major banks alleging anti-competitive practices. Banks named in the suit include Bank of America, US Bancorp, JP Morgan Chase, Capital
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The Securities and Exchange Commission is preparing enforcement actions against three US stock exchanges -- and possibly the head of one of them -- over charges that in-house regulators failed to adequately enforce their own rules
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Citigroup said today that federal regulators had warned the bank that an investigation of its asset management unit could result in an enforcement action against the executive who ran the division until this week.
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he Van Eck Associates Corporation, a manager of the Van Eck mutual funds, has said the Securities and Exchange Commission may seek civil penalties against it and two executives in connection with improper trading.
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Credit card company American Express Co  said on Thursday that a slowdown in cardholder spending and rising delinquencies would lead to a quarterly pretax charge of about $440 million.
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Securities regulators notified a Dow Jones board member that he could face civil charges for his alleged role in passing secret information before the company announced a bid from Rupert Murdoch's News Corp., according to a source familiar with the investigation.
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American International Group Inc., one of the world&#39;s largest insurance firms, said Monday that the Securities and Exchange Commission may bring a civil action against the company for alleged violations of federal securities laws regarding
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Given the current economic climate, is AmEx about to charge it up?
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Securities regulators told the mortgage giant Wednesday that they are considering civil charges for alleged manipulation of the company's reported earnings.
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WASHINGTON - American Express tells its cardholders, &quot;Don&#39;t leave home without it.&quot; But some businesses wish their customers would do just that.
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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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Freddie Mac (FRE.N: Quote, Profile, Research) , the No. 2 US mortgage finance company, on Wednesday said it may face civil action from the US Securities and Exchange Commission for possible violations of securities laws.
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Companies could could face compensation lawsuits if workers feel they are being harassed by lecherous colleagues on Saint Valentine's Day, an employment law firm has warned.
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Credit card company American Express   said on Thursday that a slowdown in cardholder spending  and rising delinquencies would lead to a pre-tax charge of  around $440 million for the fourth quarter.
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Research firm Morningstar Inc. could face civil charges by the Securities and Exchange Commission for failing to promptly correct inaccurate information it published about a mutual fund, according to a newspaper report Friday.
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Switzerland's largest bank, UBS, confirms it may face legal action from US federal regulators for possible breaches of securities law.