SEC charges hedge fund manager, funds in PIPE case
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The Securities and Exchange Commission on Thursday filed fraud charges against hedge fund manager Robert Berlacher and the Lancaster group of hedge funds, alleging they engaged in an illegal trading scheme involving at least 10 unregistered securities offerings.
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The Boston office of the Securities and Exchange Commission is conducting a &quot;mini-sweep&quot; of about two dozen mutual fund companies, to hunt for any improper trading by fund managers, traders, and other high-ranking insiders over the past three years, two SEC officials confirmed.
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The former legal counsel for McAfee is facing federal charges of improperly backdating stock options at the security software company.
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A prominent hedge fund manager who was experienced in investing money for charities is expected to be arraigned on charges of attempted kidnapping and sexual assault on Monday, police in Connecticut said.
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The U.S. Securities and Exchange Commission has filed civil fraud charges against the former general counsel of Monster Worldwide Inc.  in a stock options backdating case, an agency official said on Thursday.
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Morningstar Inc., the mutual fund and stock research provider, on Friday said it may face US Securities and Exchange Commission civil charges over incorrect data it published about a mutual fund.
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A new trading tactic that could tip takeover battles has emerged from the hedge fund industry, sparking outrage among some investors and corporate governance experts.
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The U.S. Securities and Exchange  Commission is examining whether J.P. Morgan Chase & Co. should  have known that the Canary Capital Partners LLC hedge fund was  making improper trades, the Wall Street Journal reported on  Thursday.
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Morningstar Inc., the mutual fund and stock research provider, on Friday said it may face U.S. Securities and Exchange Commission civil charges over incorrect data it published about a mutual fund.
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SAN FRANCISCO -- McAfee's former top lawyer was charged Tuesday with stock options tampering that muddied the finances of the computer security software maker.
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Invesco Funds Group Inc. and two other mutual-fund units of Amvescap LLC will pay $375 million to settle Securities and Exchange Commission charges
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NEW YORK, Sept. 25 -- A former hedge fund manager has been charged with criminal insider trading for allegedly profiting from confidential information she had received from Arlington investment firm Friedman Billings Ramsey Group Inc.
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The former top lawyer of McAfee Inc. was charged with stock options tampering that muddied the finances of the computer security software maker.
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The PIMCO mutual fund group&#39;s adviser and two affiliates will pay $11.6 million to settle US Securities and Exchange Commission charges involving improper &quot;revenue-sharing&quot; payments to brokers, said a source familiar with the case
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NEW YORK -- Gabelli Asset Management Inc., run by star money manager Mario Gabelli, received a subpoena from the Securities and Exchange Commission related to its investigation of improper fund-share trading, the firm said in a regulatory filing.
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THREE senior officials running one of Americaâs junior stockmarkets could face civil charges relating to its options market, following a probe by US watchdog the Securities and Exchange Commission.
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The U.S. government on Thursday charged 13 people, including employees at major Wall Street banks, with securities fraud, wire fraud, bribery and other charges in what authorities are calling one of the most pervasive insider trading rings in years.