Hedge Fund Settles Late-Trading Case
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Ritchie Capital will pay $40 million to settle investigations into its trading practices from 2001 to 2003, regulators and the company said.
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Charles Schwab Corp. SCH.N 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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Long-Term Capital Management LP, whose failure in 1998 forced a bailout by Wall Street&#39;s biggest investment banks, has to pay $56 million in tax and penalties after a judge said the hedge fund claimed an improper deduction.
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WASHINGTON The two founders of the Pennsylvania-based Pilgrim-Baxter mutual fund family have agreed settle regulators&#39; charges of improper trading.
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Janus Capital Group Inc. said Wednesday it has finalized a &#36;226.2 million settlement with state and federal regulators over improper trading allegations, part of a scandal sweeping the &#36;7 trillion mutual funds industry.
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Prudential Financial Inc.   agreed to pay $600 million to settle an investigation into  improper mutual fund trading at its brokerage unit, the U.S.  Justice Department said on Monday.
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Three companies that manage and market Pimco stock mutual funds have agreed to pay a total &#36;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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Fremont Investment Advisors of San Francisco has agreed to pay $2.1 million in restitution and $2 million in civil penalties to end a mutual fund timing case, New York Attorney General Eliot Spitzer announced Thursday.
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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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The PIMCO mutual fund group has agreed to pay &#36;50 million to settle fraud charges involving improper rapid dealing in mutual fund shares, the U.S. Securities and Exchange Commission said on Monday.
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Two former directors at Putnam Investments have agreed to pay $400,000 each to settle charges that they had engaged in improper trading.
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By Bloomberg News. Edward D. Jones &amp; Company said yesterday that it had agreed to pay $75 million to settle regulators&#39; accusations that it did not disclose hidden marketing deals with mutual funds.
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Goldman Sachs and Morgan Stanley settled allegations that they sought commitments from customers to buy shares after an initial public offering.
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In one of the biggest settlements to date in the mutual fund scandal, Invesco Funds and AIM Advisors agreed to $450 million in fines and fee reductions Tuesday to settle allegations they allowed favored customers to carry out illicit trading strategies in
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A federal judge ruled yesterday that Long Term Capital Management, the giant investment fund that nearly imploded in 1998 and received a $3.
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DENVER -- Janus Capital Group Inc. said yesterday it has finalized a $226.2 million settlement with state and federal regulators over allegations of improper market-timing trades.
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The Securities and Exchange Commission has adopted rules ensuring that it can sue hedge funds for misleading investors.