Funds&#39; Manager Settles Case Over Trading
102418
PEA Capital, which manages seven Pimco funds, and two affiliates agreed yesterday to pay $50 million to settle Securities and Exchange Commission accusations that they allowed a hedge fund to make frequent trades at the expense of other investors.
14927
WASHINGTON (CBS.MW) -- Edward D. Jones &amp; Co. will pay $75 million to settle charges that the brokerage promoted mutual funds without informing investors of revenue sharing agreements it had with the fund firms
627372
The Securities and Exchange Commission reached a settlement with the Walt Disney Co. yesterday over the company&#39;s not disclosing its relationships with various board members as well as with an airline controlled by a director.
385626
A San Francisco investment adviser for mutual funds will pay $30 million to settle charges that it secretly allowed favored clients to conduct frequent short-term trading, in violation of the funds&#39; rules and in exchange for extra fees, regulators said
311356
RS Investment Management agreed to pay $30 million to settled allegations it allowed &quot;excessive&quot; market timing in its mutual funds, New York Attorney General Eliot Spitzer said Wednesday.
483210
The company that runs the Franklin Templeton mutual funds yesterday admitted that it allowed an investor to market-time its funds in exchange for putting $10 million into a start-up hedge fund at the firm, according to a settlement with the Massachusetts Securities Division.
730095
Edward Jones &amp; Co., a brokerage firm that caters to individual investors, agreed to pay $75 million to settle regulators&#39; allegations that it didn&#39;t disclose hidden marketing deals with mutual funds.
106999
The PIMCO mutual fund group&#39;s adviser and two affiliates will pay more than $20 million to settle charges involving failure to disclose payments made to brokers for
538948
The California Public Employees' Retirement System, the largest US pension fund, agreed to disclose the fees it pays to venture capital and hedge fund managers as part of a legal settlement.
522296
Charles Schwab Corp. SCH.N on  Tuesday said it had agreed to pay a fine of $350,000 to settle  SEC enforcement proceedings related to the processing of mutual  fund orders.
319273
WASHINGTON -- The two founders of the Pilgrim-Baxter mutual fund family have agreed to pay $80 million each to settle regulators&#39; charges of improper trading of their funds to benefit themselves and friends at the expense of longer-term shareholders, the
57534
ALBANY, NY RS Investment Management agreed to pay 30 (m) million dollars to settle allegations it allowed &quot;excessive&quot; market timing in its mutual funds.
738438
Former directors of WorldCom Inc.  have agreed to settle investors' claims that they failed to  properly control the telephone company's finances, the lead  plaintiff in the class action case said on Wednesday.
743497
Brokerage Charles Schwab &amp; Co. has agreed to pay a $350,000 civil fine to settle federal regulators&#39; allegations that it illegally allowed certain customers to change mutual fund trade orders after the market&#39;s close.
639357
SAN FRANCISCO (CBS.MW) -- Charles Schwab &amp; Co. agreed to pay $350,000 to settle Securities and Exchange Commission charges that the discount broker allowed customers to trade mutual funds after hours, the company said Tuesday.
624107
The founders of the PBHG mutual funds agreed to pay &#36;160 million in restitution and civil fines, and to accept a lifetime ban from the securities industry to resolve allegations they facilitated improper trading in the funds, regulators said on Wednesday.
48986
The founders of the PBHG mutual funds  agreed to pay $160 million in restitution and civil fines, and  to accept a lifetime ban from the securities industry to  resolve allegations they facilitated improper trading in the  funds, regulators said on Wednesday.