Buffett firm helps with SEC probe
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US financial regulators seek information from Berkshire Hathaway, the firm run by billionaire Warren Buffett, in an investigation into insurance products.
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Hartford Life, a unit of the Hartford Financial Services Group Inc., said Friday it is being investigated by the Securities and Exchange Commission for its use of "directed brokerage" in connection with its mutual funds.
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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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Berkshire Hathaway Inc., the company  run by billionaire Warren Buffett, on Thursday said securities  regulators requested information from its General Re. Corp.  unit on insurance products that might help companies smooth  earnings.
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Wall Street is reportedly under investigation again for allegedly anti-competitive practices that regulators believe might put small investors at a disadvantage.
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Concerns mount that Warren Buffett's holding company might be overvalued.
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Federal regulators have subpoenaed Fidelity Investments and several brokerage firms that handle the stock-trading business for the mutual fund giant, seeking information about gifts and expensive perks Fidelity traders may have accepted from the brokerage firms, according to attorneys involved in the case.
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HARTFORD -- The Securities and Exchange Commission has opened another front in the widening investigation of insurance brokerage fees, launching a probe of Hartford Life , a unit of the Hartford Financial Services Group Inc.
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Warren Buffett&#39;s Berkshire Hathaway Inc. said the US Securities and Exchange Commission requested information on insurance policies that may help companies smooth earnings.
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Bank of New York Co. BK.N on Tuesday  said regulators are examining whether its Pershing LLC unit  cleared improper stock trades.
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The U.S. Securities and Exchange  Commission is investigating Dow Jones & Co. Inc.  board  member David Li over an insider trading case linked to News  Corp.&#39;s (NWSa.N) bid for the Wall Street Journal publisher, Dow  Jones reported on Wednesday.
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CHICAGO -- The Securities and Exchange Commission is investigating the investment research firm Morningstar Inc. for failing to properly correct inaccurate data it published about a mutual fund, the company disclosed yesterday.
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U.S. regulators, led by the Securities and Exchange Commission, are probing how financial firms priced mortgage securities on their books and whether they should have told investors earlier about the declining value of those securities, The Wall Street Journal reported on Friday.
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STAMFORD, Conn. - The Securities and Exchange Commission is investigating the operations of a Thomson Financial division that collects information on stock ownership, the company reported Monday.
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Federal prosecutors have asked the Securities and Exchange Commission for information gathered from an investigation of Merrill Lynch &amp; Co's  activities in mortgage securities, The Wall Street Journal reported on Friday.
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THE REGION Sapient Corp., a technology consulting company, said the Securities and Exchange Commission is investigating the company's stock options granting practices. Sapient will cooperate fully with the commission, the Cambridge company said in a regulatory filing. Sapient said last month that an internal review of the practices had ended and found no misconduct.
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NEW YORK, Nov. 8 -- The Securities and Exchange Commission is investigating whether more than a dozen big brokerage firms failed to execute certain trades at the best possible prices for individual investors, sources familiar with the probe said.