Brokerages settle SEC claims over lack of supervision
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Two Massachusetts brokerage firms each agreed to pay $250,000 and to be censured to settle allegations by the Securities and Exchange Commission that they failed to supervise former representative Bradford J. Bleidt, who pleaded guilty in 2005 to charges he cheated investors out of millions of dollars.
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LOS ANGELES (CBS.MW) -- Walt Disney Co. has settled regulators&#39; charges that the company failed to disclose a variety of business relationships between the company and some members of its board, the Securities and Exchange Commission said Monday.
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The settlement resolves regulatory charges related to e-mails Morgan Stanley said were destroyed in the September 11, 2001, attacks, but in fact were saved on backup files.
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Three companies that manage and market Pimco stock mutual funds have agreed to pay a total $20.6 million to settle allegations that they failed to disclose their use of fund assets to pay brokerages for steering customers to the funds.
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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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Two companies that manage and market Franklin Templeton mutual funds have agreed to pay a total of &#36;20 million to settle federal regulators' charges that they failed to disclose their use of fund assets to pay brokerages for steering customers to the funds.
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Investment banks Goldman Sachs Group  Inc. GS.N and Morgan Stanley MWD.N have agreed to pay about  $40 million each to settle U.S. Securities and Exchange  Commission allegations of misconduct in their handling of  initial public stock offerings, sources familiar with the  matter said on Tuesday.
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General Electric Co. said it settled allegations with the US Securities and Exchange Commission that it didn&#39;t fully disclose perks such as an apartment and wine for retired Chief Executive Officer Jack Welch.
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After last week&#39;s settlement with San Francisco investment adviser Garrett Van Wagoner, you have to wonder how serious the Securities and Exchange Commission is about protecting mutual fund shareholders.
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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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Morgan Stanley and Goldman Sachs Group Inc. have agreed to pay $40 million each to settle federal charges that they awarded coveted initial public offering shares in a manner that may have artificially pumped up stock prices during the late 1990s.
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Wall Street banks Goldman Sachs and Morgan Stanley have agreed to pay $40 million each to settle charges that they tried to manipulate the prices of hot IPO stocks, US regulators said yesterday.
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The New York Stock Exchange&#39;s top enforcement officer said a number of Wall Street brokerage firms have admitted they did not send customers prospectuses on new stock offerings before they invested their money.
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Brokerage Edward D. Jones &amp; Co. LP agreed to pay $75 million to settle allegations of improper disclosure of revenue-sharing payments it received from a group of mutual fund families it recommended to customers, US regulators said yesterday.
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CHICAGO _ Discount brokerage Charles Schwab Corp. on Tuesday settled regulators&#39; allegations that it allowed scores of improper mutual fund trades, agreeing to pay a $350,000 fine.
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UBS AG  UBS Financial Services Inc has been censured and fined $370,000 in a settlement with the Financial Industry Regulatory Authority (FINRA) for making what the self-regulatory group said were hundreds of late disclosures about its brokers.
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Industrial giant General Electric settled with the U.S. Securities and Exchange Commission on Thursday over its failure to disclose former CEO Jack Welch's lavish retirement package.