Fidelity Tees Up Two on Gift Breach
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Mutual fund giant Fidelity Investments has fired two employees and disciplined 14 others for violating company policy on accepting gifts.
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To woo business from Fidelity Investments traders, a New York brokerage firm showered them with pricey gifts such as private vacations and golf outings, tickets to a Justin Timberlake and Christina Aguilera concert, parties at the 2004 Super Bowl in Houston sponsored by Playboy and Maxim magazines, and a dozen bottles of Chateau Petrus wine worth $625 apiece.
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As previously announced, KB Home's past stock option grant practices are  being investigated by the Securities and Exchange Commission. The  Department of Justice is also looking into these practices but has  informed KB Home that it is not a target of this investigation.
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A class-action lawsuit accuses Fidelity National and Certegy Check Services of negligence, invasion of privacy and breach of implied contract in connection with a breach that exposed personal data of 8.5 million consumers.
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Several firms are interested in buying all or a small stake in Fidelity National Financial as financial services companies lure cash-rich private equity firms.
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There are special rules for gifts of stock.
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You may be getting a double dose of sin from sin stocks.
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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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Fidelity Investments and several brokerages that handle the mutual fund giant's trading have received subpoenas from regulators seeking information about gift-giving practices in the mutual fund industry, according to a published report Tuesday.
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The mutual fund information provider receives a Wells Notice over incorrect data.
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Leaping into a burgeoning price war with low-cost exchange traded funds, Fidelity Investments has slashed fees on five index mutual funds widely used in group and individual retirement accounts.
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Fidelity Investments yesterday said that it disciplined 14 stock traders and that two others left the company amid an investigation by federal regulators into traders accepting lavish gifts and entertainment from brokers to whom they directed business.
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Four Fidelity Investments brokerage units were fined a total of $3.75 million, regulator NASD said yesterday, citing broad record-keeping lapses it said it uncovered while probing the lavish gifts some company traders accepted from outside brokerages.
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TD Ameritrade warned customers Friday that its client database suffered a security breach, potentially putting their social security numbers and trading information at risk.
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By Martha McKay, The Record, Hackensack, N.J.  Dec. 9--A Clifton security company has received an infusion of cash and  contracts from a California telecommunications equipment maker.   Shares of Electronic Control Security Inc.
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An AOL user who logged on to check his online financial portfolio was given access to someone else's data and is calling on AOL to correct what he sees as a security breach. AOL acknowledged an "issue," but said corrective action has been taken.
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Investor's Business Daily - Fidelity Investment's shakeup in the organization of its mutual funds, begun 18 months ago, appears to be yielding results for the industry leader.