Dow Jones director Li may face charges in U.S. probe
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Dow Jones & Co. Inc.  board member David Li, a prominent Hong Kong banker, may face civil charges in a U.S. Securities and Exchange Commission insider trading investigation linked to News Corp.'s  $5 billion bid for the U.S. media company.
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Citigroup Inc., the world&#39;s largest bank, said the US Securities and Exchange Commission may take enforcement action against Thomas Jones, who ran the company&#39;s investment-management unit.
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SAN FRANCISCO (CBS.MW) -- The former chairman of Lucent Technologies and two other past employees likely will face civil enforcement actions by the Securities and Exchange Commission in connection with a bribery investigation in Saudi Arabia, the company
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The United States Embassy in Beijing confirmed on Thursday that the chairman of an American electronics distribution company had been arrested and accused of causing
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HONG KONG/WASHINGTON  - The U.S. Securities and Exchange Commission plans to file civil charges against Dow Jones & Co. Inc.  board member David Li over an insider trading investigation linked to News Corp.'s  $5 billion bid for the media company, the Wall Street Journal reported.
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he Van Eck Associates Corporation, a manager of the Van Eck mutual funds, has said the Securities and Exchange Commission may seek civil penalties against it and two executives in connection with improper trading.
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Securities and Exchange Commission staff will recommend that the agency not pursue insider trading charges against $7 billion hedge fund Pequot Capital Management Inc., its management team, and former chairman John J. Mack, according to a letter sent to the fund's investors yesterday and three...
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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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Senator Jim Webb asked federal  authorities on Wednesday to look into &quot;national security  implications&quot; he said are posed by Chinese government  involvement with Blackstone Group LP  as it moves toward  a stock offering expected to raise more than $4 billion.
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Federal prosecutors are strongly considering criminal charges against former executives of Broadcom Corp., Apple Inc., and KLA-Tencor Corp., related to the backdating of stock options, the Wall Street Journal reported on Friday, citing people familiar with the situation.
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Federal prosecutors are talking to  high ranking officials at Bear Stearns Cos Inc  after  the collapse of two hedge funds last summer, and an indictment  of the firm is possible, CNBC's reporter Charlie Gasparino said  on Thursday.
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A New York stockbroker was indicted on  Friday on charges of stealing more than $4.1 million from three  Wall Street firms, prosecutors said.
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Federal prosecutors today unsealed criminal charges against more than a dozen people -- including former executives at three of Wall Street's elite investment banks and traders at prominent hedge funds -- for engaging in thousands of improper trades in a pair of wide-ranging schemes.
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The Bank of East Asia (0023.HK) said  on Thursday that Chairman David Li had received a &quot;Wells  Notice&quot; from staff of the U.S. Securities and Exchange  Commission in connection with an investigation into trading in  Dow Jones & Co. Inc.  shares.
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President George W. Bush said Thursday US authorities would probe security implications of a proposed deal which would see Borse Dubai take a stake in the New York-based Nasdaq stock exchange.
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The Securities and Exchange Commission reportedly plans to file civil charges against a Dow Jones &amp; Co. board member, David Li, over an insider trading probe linked to News Corp.'s bid for the media company.
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Dow component AIG says SEC staff may recommend action against it related to past transactions. NEW YORK (CNN/Money) - Insurer American International Group Inc.