AP NewsBreak: Top Wall Street firms involved in prospectus ...
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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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The US Securities and Exchange Commission has asked Marsh &amp; McLennan Cos. Inc. (MMC.N: Quote, Profile, Research) for information about partnerships that individuals affiliated with the
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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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Reuters, the media and information group, is understood to have appointed investment bankers to explore the sale of Instinet, its American electronic stock trading business.
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US regulators launch an inquiry into whether Wall Street's top brokers adopted trading practices which left clients out of pocket.
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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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American International Group Inc., the  world's largest insurer by market value, said Monday it  received subpoenas from New York Attorney General Eliot Spitzer  and the Securities and Exchange Commission regarding products  that might help companies smooth earnings or hide losses.
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Securities regulators are reviewing whether investment banks' trades in shares of companies linked to M&A deals they were advising were based on coincidence or inside information, according to The Wall Street Journal on Monday.
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New York Attorney General Eliot Spitzer sued insurance giants Marsh &amp; McLennan, American International Group and several others Thursday, alleging policy brokers have been taking payoffs from insurance companies to steer corporate clients their way rather
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The three top executives at the American Stock Exchange received Wells notices from the Securities and Exchange Commission as part of an investigation into options trading and
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Standard &amp; Poor&#39;s Equity Research reiterated a &quot;hold&quot; rating on Marsh &amp; McLennan (nyse: MMC - news - people ), saying the Securities and Exchange Commission has requested information regarding transactions with parties in which company insiders or major
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New York prosecutors are investigating  whether Wall Street banks withheld information about the risks  stemming from subprime loan-linked investments, The New York  Times reported on Saturday.
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The Wall Street rumor mill is working overtime, spinning off speculation about how soon a decision will be announced in the US government lawsuit aimed at blocking Oracle&#39;s (ORCL:Nasdaq - news - research) proposed takeover of PeopleSoft (PSFT:Nasdaq
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The Motley Fool - Here at The Motley Fool, our aim is to educate, amuse, and enrich you with information about personal finance and investing. Today, we're going to do that by introducing you to the top 10 signs you might be making your broker rich. And here they are. Drumroll, please:
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Investment funds controlled by British billionaire Joseph Lewis have amassed a seven percent stake in Wall Street investment bank and brokerage Bear Stearns, a US securities filing showed Monday.
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NEW YORK (Dow Jones/AP) _ At least four New York Stock Exchange traders were fired or suspended this week as federal and exchange regulators prepare to bring charges against them for allegedly
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Jeff Greenberg leaves post at No. 1 insurance broker not long after Spitzer targeted firm: WSJ. NEW YORK (CNN/Money) - Marsh &amp; McLennan&#39;s embattled Chief Executive Officer Jeffrey Greenberg stepped down as