Ex-Citigroup execs may face SEC charges, banking company says in ...
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NEW YORK -- The Securities and Exchange Commission is considering recommending charges against a Citigroup executive whose departure was announced this week, the financial-services giant said Friday.
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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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NEW YORK -- Citigroup Inc.. the financial services giant, confirmed on Wednesday that it was removing three senior executives in the wake of a banking scandal in Japan.
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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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Dow Jones & Co. Inc.  board member David Li, a prominent Hong Kong banker, may face civil charges in a U.S. Securities and Exchange Commission insider trading investigation linked to News Corp.'s  $5 billion bid for the U.S. media company.
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WASHINGTON (Dow Jones/AP) - Financial services giant Citigroup says the Securities and Exchange Commission is considering recommending charges against two of its former employees and a current worker.
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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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The top three executives of the American Stock Exchange may face civil charges for failing to properly enforce the exchange's rules.
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Citigroup said that federal regulators had warned the bank that an investigation of its asset management unit could result in an enforcement action.
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Three senior Citigroup Inc. (CN: Quote, Profile, Research) executives are leaving the company, after being found partially responsible for last month&#39;s forced closure
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&#39;We&#39;re not a deal-focused company,&#39; Prince tells newspaper; adds bank must focus on ethics. NEW YORK  - The chief executive of Citigroup Inc.
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NEW YORK, Sept. 30 -- When Citigroup Inc. chief executive Charles O. Prince III learned of allegations that the firm's private bankers in Japan had violated anti-money-laundering laws and overcharged customers, he could not believe his ears.
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Banking giant Citigroup has been fined 1.1 million dollars after dozens of its brokers gained waivers on mutual fund sales charges by falsely claiming their customers were disabled, the NASD securities regulator said.
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Federal prosecutors today unsealed criminal charges against more than a dozen people -- including former executives at three of Wall Street's elite investment banks and traders at prominent hedge funds -- for engaging in thousands of improper trades in a pair of wide-ranging schemes.
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German prosecutors said Tuesday they received a complaint from regulators against six Citigroup Inc. employees and were considering whether to launch a formal investigation into suspicions of market manipulation.
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U.S. and European banks including Citigroup Inc  and HSBC Holdings PLC  are considering selling off parts of their businesses as they prepare for tough times ahead, the Wall Street Journal reported.
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NEW YORK - Citigroup Inc has forced three senior executives to leave the company in connection with a scandal involving its private-banking operations in Japan, US media reported Tuesday.