JB Oxford Sued by SEC for Improper Mutual Fund Trades
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JB Oxford Holdings Inc., a Beverly Hills-based discount brokerage firm, was sued by the Securities and Exchange Commission for allegedly allowing thousands of improper trades in more than 600 mutual funds.
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The US Chamber of Commerce filed suit yesterday to overturn federal regulators&#39; controversial new rule that mutual funds have independent chairmen.
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Morningstar is under investigation from the Securities and Exchange Commission for taking too long to correct inaccurate data it published regarding a single mutual fund.
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U.S. securities regulators on Friday sued a partnership and one of its founders, alleging they made bogus offers to buy such well-known entities as Sony Corp.  and Playboy Enterprises Inc.  in an effort to manipulate their stock prices.
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HARTFORD, July 23  â The Hartford Financial Services Group paid $115 million to settle accusations that it allowed illegal trading in some mutual funds, the company and the Connecticut attorney general, Richard Blumenthal, announced on Monday.
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NEW YORK -- US government prosecutors filed charges in one of the biggest insider-trading cases on Wall Street since the 1980s, claiming employees at UBS AG , Morgan Stanley , and Bear Stearns Cos. profited from advance knowledge of mergers and stock picks.
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US securities regulators may file suit against Morningstar Inc., a provider of mutual fund and stock research, over incorrect data it published about a mutual fund, the company said on Friday.
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Plus, the trouble with your mutual funds.
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By Bloomberg News. A judge dismissed a lawsuit against Lawrence J. Ellison, chief executive of the Oracle Corporation, and Jeffrey O. Henley, its chairman, that accused them of insider trading
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A broker-dealer firm sued brokerages  watchdog NASD and the New York Stock Exchange on Friday to  block a deal to merge oversight functions, saying the  arrangement would be unfair to NASD members.
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WASHINGTON, Dec. 12 (Dow Jones/AP) â Federal regulators sued a hedge fund manager in Dallas on Tuesday, accusing him of making more than $6.5 million through illegal trading involving ânakedâ short sales of dozens of companies.
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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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Federal regulators have subpoenaed Fidelity Investments and several brokerage firms that handle the stock-trading business for the mutual fund giant, seeking information about gifts and expensive perks Fidelity traders may have accepted from the brokerage firms, according to attorneys involved in the case.
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A Massachusetts securities regulator Monday said he fined two entities of Franklin Templeton $5 million for allowing an investor to conduct improper mutual fund trades.
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Securities regulators sued two former financial advisers at Morgan Stanley  on Friday for defrauding at least 50 mutual fund companies and their shareholders.
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&gt;Citigroup Inc. was sued by a group of institutional investors who contend the bank defrauded them in selling $2.4 billion of notes linked to the creditworthiness of Enron Corp.
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New York Attorney General Eliot Spitzer yesterday sued Putnam Investments parent Marsh &amp; McLennan Cos. , alleging the nation's largest insurance brokerage received payoffs from insurers for steering clients to them instead of finding the best prices for its customers.