Senate Group Investigating Firing at a Brokerage Firm
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Rodman & RenshawÂs chairman said the firing of a research analyst who sought to lower a stock rating came after he told his story to the Senate Finance Committee.
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Fannie Maeâs regulator, the Office of Federal Housing Enterprise Oversight, has launched a probe into the bonuses and compensations received by the two top executives fired earlier this week.
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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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Jefferies Group Inc. , a New York-based brokerage, is under investigation by the US Securities and Exchange Commission as part of a probe into whether brokers doled out gifts to mutual fund executives to win trading business, people familiar with the matter said.
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US lawmakers asked the Securities and Exchange Commission on Thursday to investigate recent disclosures of improper mutual fund sales practices on military bases.
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WASHINGTON - Executives from major credit rating agencies were accused yesterday by senators of being hampered by conflicts of interest that may have contributed to the worldwide mortgage market turmoil.
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Regulators are investigating whether several current and former employees at Merrill Lynch & Co Inc  improperly placed trades for the brokerage house's own account ahead of client orders, The Wall Street Journal reported on Monday.
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Federal regulators are expected to bring charges this week against two former employees of the mutual fund unit of the old FleetBoston Financial Corp. -- and settle with three others -- in connection with a long-running investigation of improper market-timing trading at the former bank's Columbia funds unit, according to attorneys and officials involved in the case.
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LOS ANGELES - The Department of Justic has launched a probe into the handling of stock options at KB Home, one of the nation's largest homebuilders, although it is not targeting the company directly, KB Home said Friday.
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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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ACE Ltd. has fired two employees and suspended three others over their alleged involvement in the contingent commissions scandal that is being investigated by New York Attorney General Eliot Spitzer.
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In their latest market-timing fraud case, Massachusetts securities regulators yesterday said employees in the Boston office of brokerage giant A.G. Edwards Inc. made billions of dollars of improper trades in mutual funds for two hedge funds with the approval of superiors at the St. Louis company.
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The Justice Department is investigating U.S. Attorney General Alberto Gonzales's meeting with a former top aide about the controversial firing of federal prosecutors last year, according to a letter released on Thursday by the Senate Judiciary committee.
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THREE senior officials running one of Americaâs junior stockmarkets could face civil charges relating to its options market, following a probe by US watchdog the Securities and Exchange Commission.
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The senators want to know whether the federal agency that insures private pension plans has enough money and the right approach to do its job.
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By LARRY MARGASAK  WASHINGTON - The Senate Judiciary Committee will ask several Justice Department officials to testify about the firing of eight federal prosecutors and could issue subpoenas if they refuse, Sen. Charles Schumer said Wednesday.
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The brokerageâs $7.9 billion write down raised questions about Mr. OâNealâs leadership and the ability of his top executives to manage the risky assets on the firmâs balance sheet.