Ex-Lucent CEO, others could face SEC civil charges
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Federal regulators are considering civil charges against two former executives of Lucent Technologies Inc. and a third ex-employee of the telecommunications gear maker over
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Securities regulators told the mortgage giant Wednesday that they are considering civil charges for alleged manipulation of the company's reported earnings.
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U.S. regulators filed fraud charges on Monday against former Hollinger International Inc.  Chairman Conrad Black and his deputy, David Radler, moving to bar the two from serving as officers of a public company.
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HONG KONG/WASHINGTON  - The U.S. Securities and Exchange Commission plans to file civil charges against Dow Jones & Co. Inc.  board member David Li over an insider trading investigation linked to News Corp.'s  $5 billion bid for the media company, the Wall Street Journal reported.
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Conrad Black, formerly the chairman and CEO of Hollinger International Inc., and David Radler, who used to be the company&#39;s president and chief operating officer, face civil-fraud charges
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The U.S. Securities and Exchange Commission said on Tuesday it charged the former chief financial officer and former controller of Engineered Support Systems Inc. with stock options backdating fraud.
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Citigroup Inc. on Friday said US securities regulators are thinking of recommending enforcement proceedings against the former head of Citigroup Global Investment Management.
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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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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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The S.E.C. notified the top three executives of the American Stock Exchange that they may face civil charges of failing to properly enforce the exchange's rules.
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DENVER -- The Wall Street Journal is reporting that Qwest Communications&#39; former chief executive could soon face civil charges for his alleged role in an accounting scandal at the company.
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The defendants include former and current employees at major Wall Street firms such as Morgan Stanley and Oppenheimer.
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American International Group Inc., one of the world&#39;s largest insurance firms, said Monday that the Securities and Exchange Commission may bring a civil action against the company for alleged violations of federal securities laws regarding
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Securities regulators are planning sanctions against a company that sold high-fee mutual funds to military officers, sources familiar with the situation said Friday. Some big fund companies said they may reconsider the "contractual plan" funds.
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Three ex-Lucent employees were warned yesterday that they could face civil charges over allegations that they paid bribes to secure contracts in Saudi Arabia.
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Citigroup Inc., the world&#39;s largest bank, said the Securities and Exchange Commission may take enforcement action against Thomas Jones, the investment- management chief who is leaving the company.
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Computer maker Gateway Inc.'s  former finance chief and controller were found liable on civil charges they manipulated financial results to meet Wall Street expectations in 2000, the U.S. Securities and Exchange Commission said.