SEC eyes 40 firms over elderly free lunch scams
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Forty investment firms across  America&#039;s Sun Belt are under federal examination over so-called  &quot;free lunch&quot; investment seminars that target elderly victims,  authorities said on Monday.
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The Securities and Exchange Commission has filed enforcement actions against Royal Ahold NV and three former executives, alleging fraud and other violations stemming from the Dutch food giant&#39;s massive accounting scandal.
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U.S. lawmakers wrote to regulators on Monday expressing concern that some banks are processing unsigned checks used by fraudsters seeking to drain money from the accounts of vulnerable people like the elderly.
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The Securities and Exchange Commission is looking at brokerage firms suspected of failing to get customers the best stock prices, people briefed on the inquiry said.
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A new study suggests that some 1,400 outside directors may have received manipulated stock option grants over the past decade.
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Lawyers for Merrill Lynch and Co. Inc.  and Credit Suisse Group  on Monday told a U.S. appeals court a $40 billion lawsuit alleging the banks helped hide financial misdeeds that led to Enron's collapse should not proceed as a class-action complaint.
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Class-action lawsuits that accuse companies of defrauding investors increased more than 40 percent last year, fueled by troubled mortgage investments and a volatile stock market, according to a study released yesterday.
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More than 40% of the market's long-haul returns have come from dividends.
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DETROIT The Securities and Exchange Commission has asked General Motors and Ford to provide information on their pension and retiree health care plans.
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The Office of Fair Trading says the elderly and vulnerable are being targeted by an array of increasingly sophisticated scams that are ripping consumers off to the tune of Â£3.5bn a year.
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The Securities and Exchange  Commission said on Thursday it charged a total of 38 traders in  a multi-million dollar scheme that involved phony finder fees  and illegal kickbacks in the &quot;stock loan&quot; industry.
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The Ontario Securities Commission warned four mutual fund firms including CI Fund Management Inc. and AGF Funds Inc. they may face enforcement action in a probe of improper trading in the C$475 billion ($368 billion) industry.
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Fourteen firms are under scrutiny for possible accounting fraud, insider trading or other violations tied to loans made to borrowers with weak, or subprime, credit.
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NASD, which is the regulatory arm of the Nasdaq stock market, and the Securities and Exchange Commission are investigating about two dozen firms, including brokerage firms and mutual fund companies, to determine whether brokers handed out expensive gifts
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The Securities and Exchange Commission, cracking down on scams targeting retirees, sued 26 people and companies for their roles in a $428 million fraud involving Mexican timeshare rentals, the agency said.
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Securities regulators are opening up yet another front in their long-running investigation of the mutual fund industry, examining brokerage firms that allegedly gave mutual fund employees
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The Securities and Exchange Commission is scrutinizing biotechnology companies as part of a wider effort to ensure that companies don&#39;t mislead investors