Former Invesco chief agrees to $500,000 penalty, industry ban to ...
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explanation of market-timing, further attorney comment. Picks up last graf. Also moving on general news wires. DENVER  _ The former chief executive of Invesco Funds Group has agreed to pay $500,000 to
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In one of the biggest settlements to date in the mutual fund scandal, Invesco Funds and AIM Advisors agreed to $450 million in fines and fee reductions Tuesday to settle allegations they allowed favored customers to carry out illicit trading strategies in
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The former chief financial officer of SafeNet, a maker of computer network security products, was sentenced to six months in prison and fined $1 million.
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The former chief executive of Freddie Mac, Leland C. Brendsel, may recover more than $50 million in compensation that the company&#39;s regulator froze during an investigation into a $5 billion profit restatement, a federal judge has ruled.
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The ruling was a setback for regulators seeking to strip the compensation of a former Freddie Mac chief executive for his alleged role in the company's accounting scandal.
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Enron Corp.&#39;s former director of investor relations has agreed to pay $1.49 million to settle fraud charges related to the bankrupt energy company, US securities regulators said on Wednesday.
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Malcolm E. McVay, the former chief financial officer of the HealthSouth Corporation, avoided prison and was granted five yearsâ probation.
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H&R Block's HRB.N broker affiliate  was censured and fined $500,000 for enabling a hedge fund  customer in its Orlando office to engage in deceptive practices  to market-time mutual funds, regulators said on Tuesday.
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A former Goldman Sachs analyst is sentenced to nearly five years in prison for an insider trading plot.
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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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Former Enron executive Raymond Bowen  agreed to pay $500,000 to settle charges of earnings  manipulation, the U.S. Securities and Exchange Commission said  on Monday.
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An investment bank in Estonia, Lohmus Haavel & Viisemann, and a former worker agreed to pay $15 million to settle Securities and Exchange Commission allegations that they had made illegal trades based on information from stolen news releases. The former employee, Oliver Peek, will forfeit $13 million in profit and will pay a $1.35 million fine. The bank will pay a $650,000 penalty, the S.E.C. said. They neither admitted nor denied wrongdoing in agreeing to the sanctions. The S.E.C.âs lawsuit accused Lohmus Haavel, which is based in Tallinn, of using a computer program to retrieve information on more than 200 United States companies from Business Wireâs secure Web site before announcements were made public from January to November 2005.
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CHRIS Fishwick, the former Aberdeen Asset Management director at the centre of the split capital trust scandal, has been barred from the City for seven years as part of a Â£194m settlement agreed with the regulator on Friday.
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A federal judge sentences Gregory Reyes, former chief executive of Brocade Communications Systems, to 21 months in prison and fines him $15 million. It's the harshest penalty yet in a tempest that has rattled corporate America.
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Amvescap Plc&#39;s US mutual-fund units, Invesco Funds Group and AIM Investments, reached a $450 million settlement with regulators in what may be the last of the biggest cases involving improper trading of mutual funds.
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The former chief executive of Brocade Communications Systems Inc. was ordered on Wednesday to pay a $15 million fine for orchestrating an illegal stock options tampering scheme.
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Porn marketer agrees to pays $465,000 in penalties, says FTC.