SEC forms office to pay back wronged investors
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The Securities and Exchange  Commission said on Tuesday it has created a new office in the  agency to quickly distribute financial penalties to wronged  investors.
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Of the more than 8,000 funds available to investors, some are downright stinkers. Fortunately, it's usually easy to identify the worst of them.
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NEW YORK, Sept. 24 -- A new study suggests that securities arbitrators often agree to requests by brokers who want settlements paid to angry investors expunged from their records. This could leave future investors unaware of the brokers' past actions.
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If youÂre an investor who has filed an arbitration case against your stockbroker, you would be wise to steel yourself for an irrational and unjust outcome.
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It can get ugly when investors chase returns.
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Last Friday, the Securities and Exchange Commission (the SEC to you and me) announced a warning against an investment scam that has caught several hundred people already.
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If you want to keep the right to influence your companies, let the SEC know.
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A free online service allows investors to check up on brokers to see if they have had run-ins with regulators or clients. But hundreds of complaints are erased each year.
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SEC may take civil action against the bank&#39;s brokerage unit on improper mutual fund trading charges. NEW YORK  - Wachovia Corp.
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Business & money: Investors who buy shares in companies to agitate for change could face fines or even prosecution.
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Securities regulators have ordered a division of Citigroup Inc. to pay a $275,000 fine plus restitution for allegedly recommending high-risk commodity futures funds to people who shouldn&#39;t have invested in them and failing to fully disclose the risks.
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The Boston investment firm Adams, Harkness Inc. will pay $575,000 to settle charges that it failed to disclose it was paid by investment banks to write research reports on the banks' underwriting clients, regulators said yesterday. Adams, Harkness also failed to preserve copies of internal e-mails as required by law, they said.
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As the second employee of InfoSpace, Jean-Remy Facq saw the value of his stock inflate and then collapse. Now he's suing in federal court in Seattle for a &#36;4.5 million refund of 1999 federal income tax. He's just one of 200 tech workers who have hired Seattle tax lawyer/CPA Brian G. Isaacson in the hope his novel theories will help them slash old (and sometimes unpaid) tax bills from their exercise of stock options for shares that later tanked.
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Eighteen City firms have agreed to pay Â£194m into a fund to compensate investors who lost money in the split-capital trust scandal.
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Heavy redemptions from investors concerned about their holdings of subprime mortgage securities claimed the Galena Street Fund of the Braddock Financial Corporation as the latest hedge fund victim.
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The US Securities and Exchange Commission on Wednesday said Fannie Mae misapplied accounting principles and called on the mortgage finance company to restate earnings.
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U.S. stock markets would have to disclose executive pay and provide details of their regulatory programs, under new rules proposed by the Securities and Exchange Commission on Tuesday.