Brokerage probe has expanded
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New York&#39;s attorney general has broadened his insurance-brokerage probe into life and health insurance, investigating whether brokers have taken payoffs to steer business
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Securities regulators are examining whether brokerage firms lavished golf outings, Super Bowl tickets and other gifts on mutual fund advisers to get them to bring their trading business to the firms.
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Marsh &amp; McLennan Cos., Aon Corp. and Willis Group Holdings Ltd., insurance brokers whose business practices are the focus of a probe by New York Attorney General Eliot Spitzer, have
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The Securities and Exchange Commission is increasing its scrutiny of the potential for insider trading at hedge funds.
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Barney Frank opens hearings on investor protection amid growing scrutiny of the financial services industry.
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The US Senate is about to open an investigation into allegations that some of America&#39;s largest insurers and brokers have taken part in schemes to rig insurance bids and to gain inappropriate fees from customers.
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A free online service allows investors to check up on brokers to see if they have had run-ins with regulators or clients. But hundreds of complaints are erased each year.
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US regulators launch an inquiry into whether Wall Street's top brokers adopted trading practices which left clients out of pocket.
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Federal authorities have expanded an investigation into allegations that Jackson Hewitt offices helped prepare fraudulent income-tax returns.
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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 lavish gifts in exchange for business, officials said yesterday.
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Mutual-fund firm Putnam Investments announced it will provide more information about its fees, brokerage commissions and executive pay as part of an effort to regain footing in the wake of the mutual-fund trading scandals.
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The U.S. Securities and Exchange  Commission is investigating about a dozen brokerage firms that  may have failed to obtain the best price for stocks traded for  customers, a source familiar with the matter said on Monday.
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The inquiries suggest that a new inquiry into an area of accounting that has long troubled both investors and pension-rights advocates will cast a broad net.
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An investigation into possible anticompetitive behavior in the flat-panel display market widened Tuesday, with at least four more big vendors saying they had been contacted by investigators.ADVERTISEMENTNEW IT SERVICES FROM IBM: EASIER TO BUY AND IMPLEMENTDiscover a simpler, more cost-effective way to get the solutions your company needs to grow more flexible and efficient.
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An investigation into the insurance business is expanding, investigators said yesterday, as Eliot Spitzer, the New York attorney general, increasingly turns his attention to whether American
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The Massachusetts attorney general's office is expanding its investigation into the lucrative commissions insurers pay brokers and consultants who promote their products, saying some of them may have violated their contracts with cities and towns.
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NEW YORK, December 23  - The Securities &amp; Exchange Commission (SEC) is currently conducting an investigation into investments by Marsh &amp; Mclennanâs (MMC.