UBS Settles With New York State Over Brokerage Fees
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UBS agreed to the payments to resolve accusations it steered inappropriate customers into fee-based accounts, the state Attorney Generalâs office said.
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HARTFORD, July 23  â The Hartford Financial Services Group paid $115 million to settle accusations that it allowed illegal trading in some mutual funds, the company and the Connecticut attorney general, Richard Blumenthal, announced on Monday.
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Bank of America Corp. BAC.N, the No.   2 U.S. bank, has agreed after a multiyear investigation to pay   $7.5 million to settle charges it failed to prevent money   laundering, the Manhattan District Attorney's office said on   Wednesday.
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U.S. apartment owner Archstone-Smith Trust  will have to pay a $235 million break-up fee plus expenses to end a proposed deal to be acquired by affiliates of Lehman Brothers  and Tishman Speyer for a total of $22.2 billion, the company said in a regulatory filing on Friday.
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Bank of New York Co. said Tuesday that its BNY Brokerage Inc. unit has agreed to acquire the execution and commission management business of investment management firm Wilshire Associates for an undisclosed amount.
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ALBANY, NY RS Investment Management agreed to pay 30 (m) million dollars to settle allegations it allowed &quot;excessive&quot; market timing in its mutual funds.
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NEW YORK (CBS.MW) -- TD Waterhouse, the retail brokerage arm of Canada&#39;s Toronto-Dominion Bank, agreed to pay $2 million Tuesday to settle charges it made illegal cash payments to investment advisers in return for business.
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Brokerage Charles Schwab &amp; Co. has agreed to pay a $350,000 civil fine to settle federal regulators&#39; allegations that it illegally allowed certain customers to change mutual fund trade orders after the market&#39;s close.
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WASHINGTON, Jan. 29  â MBIA, the large insurer of municipal bonds, has agreed to pay $75 million to settle civil securities-fraud charges by federal and New York State authorities over what they said was a sham $170 million transaction in 1998, the company and regulators announced Monday.
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UnitedHealth Group Inc., one of the largest providers of health insurance in the United States, has paid $20 million to 37 states in order to settle claims processing problems, according to the New York State Department of Insurance.
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TD Waterhouse Investor Services Inc., a national brokerage firm, will pay $2 million to settle Security Exchange Commision claims it failed to disclosed fees paid to three advisers as a way to get more business.
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The University of California said it  settled a class action suit brought against Lehman Brothers for  $225.5 million to compensate it for the investment bank's sale  of securities in bankrupt energy trader Enron Corp. .
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The Securities and Exchange Commission announced a &#36;140 million settlement Wednesday with a mutual fund adviser to the former FleetBoston Financial Corp. for improper trading, the same day the agency filed civil fraud charges against two former employees of the adviser.
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Brokerage giant Charles Schwab Corp. agreed yesterday to pay $350,000 to end a Securities and Exchange Commission investigation into allegations that its brokers improperly allowed some customers to change hundreds of mutual fund orders after the New York stock markets closed.
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HARTFORD, Conn. -- An investment firm that was found in breach of contract in a lawsuit involving the state&#39;s pension fund has settled for $15 million, the two sides announced Monday.
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Michael Jackson on Monday settled a breach-of-contract suit brought by a financial firm that claimed to have brokered the deal that allowed him to avoid default on more than $270 million in loans last year.
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RS Investment Management agreed to pay $30 million to settled allegations it allowed &quot;excessive&quot; market timing in its mutual funds, New York Attorney General Eliot Spitzer said Wednesday.