Schwab Paying &#36;350,000 Fine in Settlement
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Brokerage Charles Schwab &amp; Co. has agreed to pay a &#36;350,000 civil fine to settle federal regulators' allegations that it illegally allowed certain customers to change mutual fund trade orders after the market's close.
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CIBC Mellon Trust Co.  a joint venture of Canadian Imperial Bank of Commerce  and Mellon Financial Corp. , has agreed to pay &#36;6 million to settle stock fraud charges, U.S. regulators said on Wednesday.
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Wachovia Corp. agreed to pay a $37 million civil fine Thursday to settle federal regulators&#39; allegations that the banking giant violated disclosure rules in connection with its 2001 merger with First Union Corp.
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The Securities and Exchange Commission announced a &#36;140 million settlement Wednesday with a mutual fund adviser to the former FleetBoston Financial Corp. for improper trading, the same day the agency filed civil fraud charges against two former employees of the adviser.
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HealthSouth Corp. , an operator of health care facilities, said on Thursday it agreed to pay &#36;325 million to settle U.S. Department of Justice charges that it improperly billed Medicare.
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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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$222.5 million -- in an ongoing securities class action lawsuit against Enron Corp. The settlement, announced Friday and
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The New York Stock Exchange on Wednesday imposed a &#36;19 million fine on investment bank Morgan Stanley , the largest ever meted out by the exchange, for various regulatory and supervisory lapses.
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IBM (Quote, Chart) has agreed to pay $300 million to settle most of the claims in a class action lawsuit related to its pension plan, the company announced today.
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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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The $450 million settlement is with regulators who accused the companies of improperly allowing favored investors to rapidly trade in and out of their funds.
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CHICAGO _ Discount brokerage Charles Schwab Corp. on Tuesday settled regulators&#39; allegations that it allowed scores of improper mutual fund trades, agreeing to pay a $350,000 fine.
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SWS Group Inc.'s  Southwest Securities Inc. subsidiary agreed to pay &#36;10 million to settle charges that managers failed to supervise brokers who had engaged in improper trading of mutual funds, the U.S. Securities and Exchange Commission said on Monday.
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Qwest Communications International Inc.  has agreed to pay &#36;250 million to settle financial and disclosure fraud charges, a source familiar with the matter said on Friday.
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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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Officials in the nation's capital announced the &#36;425,000 settlement of a lawsuit Monday stemming from a mass arrest that occurred not far from the White House nearly 28 months ago.
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A federal judge on Friday approved Citigroup Inc.'s &#36;2.6 billion settlement with  WorldCom Inc. investors who lost billions when an accounting scandal plunged the telecommunications company into bankruptcy protection.