NASD Files Charges Against H&R Block
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The NASD yesterday lodged fraud charges against H&R Block Financial Advisors Inc. for selling $16.4 million of Enron Corp. bonds to investors without warning of risks, shortly before the energy trading company filed for bankruptcy protection.
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The Securities and Exchange Commission filed a lawsuit on Wednesday against the brokerage firm JB Oxford Holdings and its National Clearing Corporation unit, accusing them of improper mutual fund trading.
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The Securities and Exchange Commission filed charges today against three former executives of what is now Kmart Holding Corp. and five former and current managers at vendor companies, alleging they conspired
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A Nasdaq plan to increase listing fees while simultaneously offering more services has enraged some companies and raised antitrust concerns.
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The U.S. government on Thursday charged 13 people, including employees at major Wall Street banks, with securities fraud, wire fraud, bribery and other charges in what authorities are calling one of the most pervasive insider trading rings in years.
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NEW YORK, October 25  - Citigroup Global Markets Inc has been censured and asked to pay a fine of $250,000 by the NASD (National Association of the Securities Dealers), for allegedly distributing inappropriate hedge fund sales literature
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American Express Co (NYSE: AXP) said this morning that it has filed a law suit in the US District Court in Manhattan against Visa, Mastercard and eight major
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The Securities and Exchange Commission has filed filed civil fraud charges against both Lord Conrad Black and his former deputy at Hollinger International, David Radler.
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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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Recently retired chairman of the company that runs Bloomingdale's and Macy's department stores was indicted Tuesday on charges that he lied to state antitrust investigators.
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The National Association of Securities Dealers yesterday charged the distributor of American Funds, the number three US mutual fund company, with breaking a NASD rule by paying brokerages $100 million in rewards over three years for being top sellers of its funds.
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H&R Block Inc.  has failed to win the dismissal of a lawsuit by former New York Attorney General Eliot Spitzer accusing it of fraudulently marketing Express IRA retirement accounts that caused hundreds of thousands of mostly lower-income clients to lose money.
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The U.S. Securities and Exchange  Commission said on Tuesday it brought civil fraud and insider  trading charges against former top executives of bankrupt  credit card issuer NextCard Inc. NXCD.OB
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U.S. and Canadian stock regulators filed fraud charges on Monday against several former executives of Nortel Networks, accusing them of twisting accounting practices to make it seem that the company was meeting Wall Street expectations.
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H&R Block Inc.'s HRB.N financial  advisers unit misrepresented the risks of $16.4 million in  bonds from Enron Corp ENRNQ.PK before the energy trader sank  into bankruptcy, the NASD said in a civil fraud complaint  seeking restitution for more than 800 investors.
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The U.S. Securities and Exchange  Commission has filed civil fraud charges against the former  general counsel of Monster Worldwide Inc.  in a stock  options backdating case, an agency official said on Thursday.
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NEW YORK -- Securities regulator NASD on Monday charged H&amp;R Block Inc. with fraudulently promoting Enron Corp. bonds to customers just weeks before the energy trader declared bankruptcy in 2001.