SEC, Ex-FleetBoston Adviser OK Settlement
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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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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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International Business Machines Corp. said yesterday it had agreed to settle most of the issues in a suit over changes in its pension plans on terms that allow the company to continue
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Two former fund managers for Putnam Investments of Boston agreed to pay a total of $1.5 million to settle allegations they inappropriately traded mutual fund shares and potentially harmed other fund investors, federal and state regulators said yesterday.
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Fidelity Investments, one of the last prominent downtown Boston-based companies, is negotiating to buy the former FleetBoston Financial Corp. headquarters building at 100 Federal St. for at least $500 million, according to real estate executives briefed about the deal.
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Charles Schwab Corp. (SCH.N: Quote, Profile, Research) on Tuesday said it had agreed to pay a fine of $350,000 to settle SEC enforcement proceedings related to the processing of mutual fund orders.
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The Securities and Exchange Commission reached a settlement today with the Walt Disney Company over the company&#39;s failure to disclose its relationships with various board members as well as with an airline controlled by a director.
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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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Federal regulators said on Tuesday three former employees of Invesco Funds Group Inc. agreed to pay &#36;340,000 in fines to settle charges that they had a role in allowing improper trading in Invesco mutual funds, leaving a settlement with the company to be hammered out.
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The company that runs the Franklin Templeton mutual funds yesterday admitted that it allowed an investor to market-time its funds in exchange for putting $10 million into a start-up hedge fund at the firm, according to a settlement with the Massachusetts Securities Division.
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Three former employees of Denver-based Invesco Funds Group agreed to a settlement regarding alleged market timing trading in certain Invesco funds, the Securities and Exchange Commission said Tuesday.
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The $850 million settlement Marsh &amp; McLennan Cos. reached with New York Attorney General Eliot Spitzer yesterday will have a small but positive effect on its mutual-fund subsidiary, Putnam Investments, but is unlikely to resolve whether the Boston firm should split from its corporate parent, analysts said yesterday.
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Goldman Sachs Group Inc. agreed Wednesday to pay $13.4 million to settle a lawsuit claiming it unfairly offered shares in its initial public offering to Ford Motor Co.
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Bank of America Corp. (BAC.N: Quote, Profile, Research) , the No. 3 US bank, on Thursday said third-quarter profit rose 29 percent, helped by its purchase of FleetBoston Financial Corp.
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Forstmann Little &amp; Company, a New York buyout firm led by Theodore J. Forstmann, settled a lawsuit with Connecticut&#39;s state employees&#39; pension fund for $15 million, state officials said.
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The PIMCO mutual fund group's  adviser and two affiliates will pay $11.6 million to settle  U.S. Securities and Exchange Commission charges involving  improper "revenue-sharing" payments to brokers, said a source  familiar with the case on Wednesday.
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Blog: IBM and SEC reach settlement in stock options expensing disclosure case. No fines or monetary penalties for company.