SEC Sues Former Counsel Over Backdating at 2 Firms
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U.S. regulators sued the former general counsel of Juniper Networks and KLA-Tencor, making her the first person targeted for fraudulently backdating stock options at more than one company.
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An investor lawsuit has been filed against Merrill Lynch & Co Inc , contending that the company issued false and misleading statements about its exposure to risky mortgage investments, the plaintiffs' lawyers said on Tuesday.
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The defendants include former and current employees at major Wall Street firms such as Morgan Stanley and Oppenheimer.
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Apple Inc  Chief Executive  Steve Jobs was asked by U.S. securities regulators to give a  deposition in a lawsuit against the company's former general  counsel involving stock options backdating, a person familiar  with the matter said on Thursday.
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The Securities and Exchange Commission filed a lawsuit yesterday accusing the newspaper tycoon Conrad Black and his former top deputy of defrauding shareholders of Hollinger International Inc. , a publishing company Black used to run.
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A broker-dealer firm sued brokerages  watchdog NASD and the New York Stock Exchange on Friday to  block a deal to merge oversight functions, saying the  arrangement would be unfair to NASD members.
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The practice of manipulating stock options grants to make them more favorable has come back to haunt yet another round of high-tech executives. A former Monster Worldwide Inc. executive is expected to agree to a plea deal in New York Thursday, just a day after the founder of Take-Two Interactive Software Inc. pleaded guilty to a state felony related to backdating.
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Raymond James Financial Inc. , a brokerage with 2,200 offices that's based in St. Petersburg, Fla., and the company's former president were sued by the Securities and Exchange Commission for failing to police a broker accused of stealing from investors.
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The Securities and Exchange Commission sued two District men yesterday, charging them with improperly soliciting more than $1.3 million for a real-estate-based Ponzi scheme by preying on fears about neighborhood gentrification.
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Lucent Technologies, the nation&#39;s biggest telecommunications equipment maker, said yesterday that the Securities and Exchange Commission was considering suing three former executives over possible
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U.S. securities regulators on Friday sued a partnership and one of its founders, alleging they made bogus offers to buy such well-known entities as Sony Corp.  and Playboy Enterprises Inc.  in an effort to manipulate their stock prices.
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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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A former top executive of the company that runs the Monster job search website admitted in court yesterday that he illegally backdated millions of dollars in employee stock-option grants -- a practice that cheats shareholders.
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Dell, the world's largest personal-computer maker, is being sued by investors who claim the company misstated financial results and concealed an investigation by the U.S. Securities and Exchange Commission.
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The former N.Y.S.E. trader, Donald R. Foley II, who worked at Fleet Specialists, faced two counts of securities fraud.
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The Securities and Exchange Commission has reached a settlement with two former employees of SpeechWorks International Inc. over claims they used faulty accounting practices to mislead investors. But a third former SpeechWorks employee plans to fight the charges in court.
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Apple Inc  Chief Executive Steve Jobs was asked by U.S. securities regulators to give a deposition in a lawsuit against the company's former general counsel involving stock options backdating, Bloomberg reported, citing two people familiar with the matter.