Another broker accused
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New York Attorney General Eliot Spitzer sued a second insurance broker Friday as part of his investigation into the insurance industry, saying Universal Life Resources Inc.
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THE REGION Massachusetts Secretary of State William F. Galvin charged two sales representatives with acting as unregistered investment advisers and improperly promoting annuities to senior citizens. Galvin alleged Michael Mark DelMonico of Uxbridge sold inappropriate high-commission annuities. DelMonico's attorney, Howard D'Amico, said his client denies wrongdoing. Galvin also charged John Christopher Huck of Princeton with offering financial counseling to investors ...
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Federal regulators are expected to bring charges this week against two former employees of the mutual fund unit of the old FleetBoston Financial Corp. -- and settle with three others -- in connection with a long-running investigation of improper market-timing trading at the former bank's Columbia funds unit, according to attorneys and officials involved in the case.
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The largest insurance brokerage company in the U.S. was accused of taking payoffs from insurance companies to send them clients.
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Securities regulators are opening up yet another front in their long-running investigation of the mutual fund industry, examining brokerage firms that allegedly gave mutual fund employees
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A former trader at the New York Stock   Exchange was found not guilty on Monday of securities fraud for   his role in a scheme that prosecutors said cheated the Big   Board's customers.
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Federal regulators are investigating whether traders at Fidelity Investments improperly steered business to their brothers who work for brokerage firms that execute trades for the mutual fund giant, according to attorneys and others involved in the case.
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Federal prosecutors charged an ex-partner of McGuireWoods with fraud, claiming that he illegally obtained and sold shares of various companies.
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The US Securities and Exchange Commission on Thursday charged brokerage firm Raymond James Financial Inc. (RJF.N: Quote, Profile, Research) with fraud over the misconduct of a former broker in 1999 and 2000.
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One of those charged yesterday was Dhiren Barot -- known publicly until yesterday as Eisa Hindi -- who is suspected of conducting surveillance of US financial buildings that was detailed in computer files seized recently in ...
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A banker in Pakistan is charged with insider trading in the US involving information about the sale of energy firm TXU Corp.
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U.S. securities regulators on  Thursday charged brokerage Raymond James Financial Inc. RJF.N  with fraud over misconduct by a former broker charged with  misappropriating about $8.7 million in investor funds.
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Eliot Spitzer, the New York state attorney general, yesterday accused the world&#39;s largest insurance broker of cheating customers by rigging prices and steering business to insurers in exchange for millions of dollars in kickbacks.
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French trader accused of the biggest fraud in banking history facing another day of police questioning
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Marsh &amp; McLennan Cos. (MMC.N: Quote, Profile, Research) , the insurance broker sued by New York Attorney General Eliot Spitzer last week for its business practices, said on Monday
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A former natural gas trader for a hedge fund facing congressional scrutiny yesterday disputed the findings of Senate investigators who blamed high natural gas prices last winter on the company's speculative bets.
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Insurance brokerage firm Marsh &amp; McLennan (nyse: MMC - news - people ) was charged with fraud and antitrust violations in connection with allegations of bid steering and lucrative payoffs from major insurance firms, alleged New York State Attorney General