Morningstar Faces Possible SEC Civil Suit
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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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US stocks regulators intend to file civil charges in a Dow Jones  Co. insider-trading case against Hong Kong banker and Dow Jones board member David Li, The Wall Street Journal reported Wednesday.
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Newspaper tycoon Conrad Black&#39;s Hollinger Inc. says it may face civil action for alleged securities violations from the US Securities and Exchange Commission.
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Morningstar Inc., a US research firm used by 3 million investors to decide what mutual funds to buy, said the Securities and Exchange Commission is investigating the company for publishing incorrect performance data for a fund.
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An investor lawsuit has been filed against Merrill Lynch & Co Inc , contending that the company issued false and misleading statements about its exposure to risky mortgage investments, the plaintiffs' lawyers said on Tuesday.
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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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Dell Inc.  is facing an investor lawsuit alleging that it improperly accounted for hundreds of millions of dollars in payments from its long-time partner Intel Corp. , the Wall Street Journal reported on its Web site on Friday.
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JB Oxford Holdings Inc., a Beverly Hills, Calif.-based discount brokerage firm, was sued by the Securities and Exchange Commission for allegedly allowing tens of thousands of improper trades in more than 600 mutual funds.
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Federal regulators are close to settling a lawsuit that accuses Invesco Funds Group and its former CEO of improper trading in its mutual funds, attorneys for all three parties said Friday.
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The Securities and Exchange Commission may bring a civil action against the American International Group Inc. and a subsidiary for their role in helping PNC Financial Services Group Inc.
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An investor lawsuit has been filed against Merrill Lynch & Co  contending that the company issued false and misleading statements regarding its exposure to risky mortgage investments, plaintiffs' lawyers said on Tuesday.
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NEW YORK (CBS.MW) -- Morningstar Inc., the mutual-fund research firm, faces potential civil charges over failing to promptly correct inaccurate data it published, the company said Friday.
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Lucent Technologies has been notified by the S.E.C. that it may be sued over a previously disclosed investigation of its operations in China.
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American International Group Inc., the world&#39;s largest insurer, said the Securities and Exchange Commission may sue it for failing to disclose that the regulator is probing transactions with two unidentified insurers.
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The Securities and Exchange Commission filed a lawsuit on Wednesday against the brokerage firm JB Oxford Holdings and its National Clearing Corporation unit, accusing them of improper mutual fund trading.
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American International Group Inc., one of the world&#39;s largest insurance firms, said Monday that the Securities and Exchange Commission may bring a civil action against the company for alleged violations of federal securities laws regarding
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THREE senior officials running one of Americaâs junior stockmarkets could face civil charges relating to its options market, following a probe by US watchdog the Securities and Exchange Commission.