Charles Schwab Corp. to Pay $350,000 Fine
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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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An investment bank in Estonia, Lohmus Haavel & Viisemann, and a former worker agreed to pay $15 million to settle Securities and Exchange Commission allegations that they had made illegal trades based on information from stolen news releases. The former employee, Oliver Peek, will forfeit $13 million in profit and will pay a $1.35 million fine. The bank will pay a $650,000 penalty, the S.E.C. said. They neither admitted nor denied wrongdoing in agreeing to the sanctions. The S.E.C.âs lawsuit accused Lohmus Haavel, which is based in Tallinn, of using a computer program to retrieve information on more than 200 United States companies from Business Wireâs secure Web site before announcements were made public from January to November 2005.
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Fidelity Investments will pay $3.75 million in fines for supervisory failures, including allowing traders to accept gifts like Super Bowl tickets and chartered flights, NASD, the brokerage industryâs main regulator, said yesterday.
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Invesco Funds Group and its sister company will pay more than &#36;450 million in penalties, restitution and lowered fees to settle allegations they allowed wealthy investors to trade their mutual funds improperly.
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Discount stockbroker Charles Schwab Corp  reported on Wednesday a 36 percent rise in earnings from continuing operations as revenue increased despite heightened market volatility and economic uncertainty.
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UBS AG (UBSN.VX: Quote, Profile, Research) is expected to buy Charles Schwab Corp.&#39;s (SCH.N: Quote, Profile, Research) institutional research and trading unit for about $265 million, a source familiar with the matter said on Monday.
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SAN FRANCISCO (CBS.MW) -- Charles Schwab Corp. is paying David Pottruck, ousted as chief executive officer in July, a lump-sum payment of $6.
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Charlotte-based Wachovia Bank may be the nation&#39;s fourth largest banking company...but that won&#39;t get them off the hook from paying a 37-million dollar 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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Securities regulators have ordered a division of Citigroup Inc. to pay $478,000 in a fine and restitution for allegedly recommending high-risk commodity futures funds to people who shouldn
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Credit Suisse First Boston&#39;s Canadian unit must pay regulators C$1.5 million ($1.3 million) to settle accusations that it improperly traded shares of BCE Inc.
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WASHINGTON -- Twenty-nine investment firms, including some of Wall Street&#39;s biggest names, have been fined a total $9.2 million by securities regulators who said they were late in reporting disciplinary history and other data about their brokers.
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Swiss banking giant UBS AG announced Tuesday that it is buying the capital markets division of discount brokerage Charles Schwab Corp. in a &#36;265 million bid to become one of the top traders on the NASDAQ exchange.
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Charles Schwab Corp. SCH.N, the  largest online brokerage, on Friday said it would cut its  online stock-trading commissions by 35 percent for small  investors, the latest volley in a price war among brokers.
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A San Francisco investment adviser for mutual funds will pay $30 million to settle charges that it secretly allowed favored clients to conduct frequent short-term trading, in violation of the funds&#39; rules and in exchange for extra fees, regulators said
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The brokerage unit of Deutsche Bank has voluntarily agreed to pay almost $90 million in compensation to settle allegations of misconduct, US regulators announced Friday.
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At stake is $356 million fine imposed in July for noncompliance.