Morgan Stanley hit by record fine
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Investment bank Morgan Stanley gets a record $19m fine from the New York Stock Exchange for a number of regulatory and supervisory lapses.
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US mortgage lender Freddie Mac agrees to pay a $50m (Â£24.6m) penalty to settle charges that it massaged its earnings.
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US life insurer Prudential Financial has been ordered to pay a 600 million dollar fine by the government after some of its brokers engaged in fraudulent trading of mutual fund shares, prosecutors said.
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A judge on Wednesday ruled to strike out a record 230.5 million pound ($415 million) claim for special damages by British investment bank Collins Stewart against the Financial Times newspaper.
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The NASD on Monday said it fined Citigroup Global Markets Inc. &#36;250,000 for distributing inappropriate hedge fund sales literature, in the regulator's largest fine involving hedge fund sales by broker-dealers.
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The NASD on Wednesday said it has collected a record &#36;102 million in disciplinary fines in 2004, triple the amount collected last year, for infractions including improper mutual fund trading, variable annuity abuses and client overcharges.
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By Christine Harper  Morgan Stanley paid $35 million in 2006 to Neal Shear, the co- head of trading, making him the firm's second-highest-paid manager last year after the chairman and chief executive, John Mack.
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A controversial special damages claim that threatened to cripple the Financial Times (FT) has been struck out by the High Court. Mr Justice Tugendhat ruled that a record Â£230.
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TORONTO (CP) - Credit Suisse First Boston Canada Inc. has been fined $1.35 million for failing to provide timely reporting of off-market trading of more than nine million shares of BCE Inc.
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Morgan Stanley was slapped with a $100,000 fine from regulators on Monday after the investment bank failed to tell municipal bond investors that their holdings could be redeemed before the maturity date.
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By Joe Bel Bruno Associated Press  NEW YORK -- Morgan Stanley Inc., the second-largest U.S. investment house, gave chief executive John Mack $40 million in stock and options for 2006, reflecting the largest bonus awarded to a Wall Street CEO.
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WASHINGTON, Oct 25  - US brokerage regulator NASD said Monday it had fined Citigroup Global Markets Inc. a quarter of a million dollars in its largest ever enforcement action after the financial giant
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Securities regulators have ordered a division of Citigroup Inc. to pay a $275,000 fine plus restitution for allegedly recommending high-risk commodity futures funds to people who shouldn&#39;t have invested in them and failing to fully disclose the risks.
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Keel-hauled outfit suffers biggest-ever settlement An unnamed international media firm has agreed to pay a record fine of â¬2.5m ($3.46m) for being found to have "significant shortfalls in software licenses".â¦
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A fine levied against Bear Stearns for failing to detect fraud in a hedge fund customer has struck fear in the heart of Wall Street.
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WASHINGTON - Securities regulators on Tuesday accused big investment firm Morgan Stanley Inc. of repeatedly withholding documents sought in connection with customer complaints and falsely claiming that millions of e-mails it had were lost in the Sept.
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Singapore&#39;s central bank said Thursday it has fined three employees of the government&#39;s secretive investment fund for insider trading involving shares of a Japanese financial company.