Lucent Agrees to Pay Fines for China Dealings
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Alcatel-Lucent will pay fines in response to charges it provided incentives to Chinese government officials.
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Retailer agrees to pay compensation to customers in move to end long-running price-fixing saga
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German computer chipmaker Infineon Technologies AG has agreed to plead guilty to price fixing and will pay a $160 million fine, the Justice Department announced Wednesday.
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UBS agreed to the payments to resolve accusations it steered inappropriate customers into fee-based accounts, the state Attorney Generalâs office said.
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The U.S. Securities and Exchange Commission (SEC) warned Lucent Technologies to expect an "enforcement action" over violations of the Foreign Corrupt Practices Act (FCPA) by executives at its Chinese operations.
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By Thomas J. Morgan; Journal Staff Writer  The company agrees to pay more than $100,000 in penalties and contributions.
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Brocade Communications Systems has agreed to pay a $7 million penalty to settle charges of stock-option backdating fraud.
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German computer chipmaker Infineon Technologies AG has agreed to plead guilty to price fixing and will pay a $160 million fine, the Justice Department announced yesterday.
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NEW YORK, September 14 (New Ratings) - Charles Schwab Corporation (SCH.NYS) has agreed to pay a fine of $350,000 to settle the enforcement proceedings by federal regulators in connection with the alleged illegal processing of some mutual fund trade
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Gary Pilgrim and Harold Baxter, co- founders of the money management firm Pilgrim Baxter &amp; Associates Ltd., agreed to pay record fines of $80 million each to settle regulators&#39; complaints
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Citigroup was fined $250,000 for failings in its hedge-fund business yesterday and agreed to close its Japanese trust banking arm as its regulatory problems continued.
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(InfoWorld) - The U.S. Securities and Exchange Commission (SEC) warned Lucent Technologies to expect an "enforcement action" over violations of the Foreign Corrupt Practices Act (FCPA) by executives at its Chinese operations. In April 2004, Lucent fired the president, chief operating officer, a marketing executive and a finance manager at its Chinese operations following a company investigation into the use of bribery by Lucent executives to secure contracts. The firing of the four executives was the result of FCPA violations uncovered by Lucent, and was reported to the SEC and the U.S. Department of Justice. On Tuesday, Lucent reported in an SEC filing that it had received a Wells notice from the SEC related to violations of the FCPA by Lucent China. A Wells notice is used to inform a company that SEC staff has made a preliminary recommendation to take action against it. The FCPA violations uncovered by Lucent in 2004 did not have a material impact on the company's business. However, Lucent is not able to determine whether the ongoing investigation into those violations will have an impact on the company's operations in China or elsewhere, the filing said.
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Two big US brokers have agreed to pay fines of USD100m to the market&#39;s watchdog for hyping stock. They have agreed the fines with the Securities and Exchange Commission (SEC) for &quot;inappropriate analysis of stocks&quot;.
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Federal regulators are considering civil charges against two former executives of Lucent Technologies Inc. and a third ex-employee of the telecommunications gear maker over
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Two California technology companies resolved civil charges related to tampering with stock option awards, agreeing to hand over millions of dollars, the first financial penalties that regulators have imposed in a vast corporate-pay investigation.
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Charles Schwab Corp. SCH.N on  Tuesday said it had agreed to pay a fine of $350,000 to settle  SEC enforcement proceedings related to the processing of mutual  fund orders.
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German microchip giant Infineon Technologies agreed to plead guilty and to pay a 160 million dollar fine for participating in &quot;an international conspiracy to fix prices&quot; US officials said.