PIMCO Adviser in $11.6 Mln SEC Settlement
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The PIMCO mutual fund group&#39;s adviser and two affiliates will pay $11.6 million to settle US Securities and Exchange Commission charges involving improper &quot;revenue-sharing&quot; payments to brokers, said a source familiar with the case
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Lehman Brothers has agreed to pay $222.5 million to settle a class-action lawsuit contending that it and other brokerage firms and banks helped Enron mislead investors.
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Invesco Funds Group and affiliate AIM Advisors say they have agreed to pay $450 million (250 million pounds) to settle civil lawsuits over improper trading, the third biggest
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RS Investments, a $6.7 billion money manager based in San Francisco, said Wednesday it had settled US and state allegations of improper trading by agreeing to pay $30 million in fines and reduced management fees.
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Bee Staff Writer. The University of California, negotiating on behalf of Enron Corp. investors, reached a $222.5 million settlement Friday with the Lehman Brothers brokerage firm over its part in the multibillion-dollar Enron debacle.
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Invesco Funds Group Inc. and affiliate AIM Advisors Inc. agreed to a &#36;450 million settlement with state and federal regulators to resolve probes of improper trading, officials and the parent company said on Tuesday.
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First Command Financial Planning Inc., a company that sold high-fee mutual funds to military officers, has agreed to pay $12 million to settle regulators&#39; charges that it used misleading sales material to promote the funds.
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Big Blue settles part of pension transfer, age discrimination suit; estimates for claims neared $6B. NEW YORK  - International Business Machines Corp.
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Wall Street brokerage house Lehman Brothers Holdings Corp. has agreed to pay $222.5 million to settle a class-action lawsuit alleging that it and other banks and brokerages helped the failed energy giant Enron Corp. mislead investors.
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The PIMCO mutual fund group has agreed to pay &#36;50 million to settle fraud charges involving improper rapid dealing in mutual fund shares, the U.S. Securities and Exchange Commission said on Monday.
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U.S. hedge and private equity firm Fortress Investment Group LLC  and other investors agreed to pay $6.1 billion for Penn National Gaming Inc.  in the latest sign of deal-making enthusiasm in the casino industry.
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The University of California said on  Friday that Lehman Brothers LEH.N has agreed to pay $222.5  million to settle a class action suit for the bank's role in  the sale of Enron Corp. ENRNQ.PK securities to it and other  plaintiffs.
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The founders of the Pilgrim Baxter &amp; Associates money-management firm agreed yesterday to personally fork over $160 million to settle charges they allowed a friend to
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A former chief financial officer of credit card issuer Capital One Financial Corp. agreed to pay more than $1.8 million to settle insider trading charges, the Securities and Exchange Commission said yesterday.
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Two big US brokers have agreed to pay fines of USD100m to the market&#39;s watchdog for hyping stock. They have agreed the fines with the Securities and Exchange Commission (SEC) for &quot;inappropriate analysis of stocks&quot;.
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KPMG KPMG.UL will pay $10 million  -- the largest payment ever by an accounting firm in a U.S.  Securities and Exchange Commission action -- to settle charges  of improper conduct while auditing Gemstar-TV Guide  International Inc. GMST.O, the SEC said on Wednesday.
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La divisione gestite asset per circa 11 miliardi di dollari