Gamco Offers to Settle S.E.C. Inquiry
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Gamco Investors Inc. said it had offered to settle a S.E.C. investigation into mutual fund share trading.
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SAN FRANCISCO (CBS.MW) -- Charles Schwab &amp; Co. agreed to pay $350,000 to settle Securities and Exchange Commission charges that the discount broker allowed customers to trade mutual funds after hours, the company said Tuesday.
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Invesco Funds Group Inc. and two other mutual-fund units of Amvescap LLC will pay $375 million to settle Securities and Exchange Commission charges
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The PIMCO mutual fund group's adviser and two affiliates will pay &#36;11.6 million to settle U.S. Securities and Exchange Commission charges involving improper "revenue-sharing" payments to brokers, said a source familiar with the case on Wednesday.
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By CHRISTOPHER LEONARD  ST. LOUIS - A state agency has offered to let a utility resolve claims for damages and fines stemming from a reservoir breach for $125 million, according to a settlement offer obtained Thursday by The Associated Press.
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The U.S. Securities and Exchange  Commission has asked Marsh & McLennan Cos. Inc. MMC.N for  information about partnerships that individuals affiliated with  the company have invested in, the insurance broker said in a  statement.
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General Electric Co. yesterday agreed to a settlement with the Securities and Exchange Commission, which accused the company of failing to provide shareholders with enough information about the retirement perks provided to former chief executive Jack Welch.
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The PIMCO mutual fund group has agreed to pay $50 million to settle fraud charges involving improper rapid dealing in mutual fund shares, the US Securities and Exchange Commission said Monday.
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SWS Group Inc.'s SWS.N Southwest  Securities Inc. subsidiary agreed to pay $10 million to settle  charges that managers failed to supervise brokers who had  engaged in improper trading of mutual funds, the U.S.  Securities and Exchange Commission said on Monday.
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Albertsons Inc.  said in a  Securities and Exchange Commission filing issued on Friday it  had agreed to provide additional detail on a proposed takeover  to settle a previously disclosed class-action lawsuit.
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The board of The Gribbles Group is expected to decide within days whether to recommend that shareholders accept a takeover offer that values the diagnostics company at up to $270 million
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BRUSSELS The European Commission said Monday that it would consult with retailers and other beverage companies over Coca-Cola&#39;s latest offer to change its sales practices, a move that brings the EU and the US soft drink maker a step closer to resolving a
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NEWARK, NJ -- Three companies have agreed to pay $50 million to settle charges they defrauded investors in Pimco Funds by not disclosing a market timing arrangement.
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Federal regulators are close to settling a lawsuit that accuses Invesco Funds Group and its former CEO of improper trading in its mutual funds, attorneys for all three parties said Friday.
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The PIMCO mutual fund group&#39;s adviser and two affiliates will pay $11.6 million to settle US Securities and Exchange Commission charges involving improper &quot;revenue-sharing&quot; payments to brokers, said a source familiar with the case
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The S.E.C. reached a settlement with Disney over the company's failure to disclose its relationships with various board members as well as with an airline controlled by a director.
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Three former Global Crossing Ltd. officials, including former chairman Gary Winnick, have reached a tentative settlement with securities regulators over an alleged failure to disclose information about the telecommunications company's swap transactions, according to two sources briefed on the deal.