S.E.C. Warns It May Act On Ex-Officer Of Citigroup
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Citigroup said regulators warned the bank that an investigation of its asset management unit could result in an enforcement action against the executive who ran the division.
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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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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
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Turns out Citigroup (C ) CEO Charles Prince really is serious about cleaning house. On Oct. 19, he announced the departure of three top execs who bore operational responsibility for the regulatory shortcomings
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The recent woes of Citigroup  have encouraged some investment bankers to talk up the chances that the biggest U.S. bank might feel pressure to buy a major U.S. rival, with Wells Fargo & Co.  and even Goldman Sachs Group  touted as potential merger partners.
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US securities regulators may recommend enforcement action against the former head of Citigroup Global Investment Management for his role in activities under investigation at the company&#39;s mutual fund unit, the No.
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The staff of the U.S. Securities and Exchange Commission is considering recommending a civil injunction and/or administrative proceedings against Citigroup Asset Management, Citicorp Trust Bank, former asset management unit Chief Executive Thomas Jones and three other people, Citigroup  said on Friday.
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Top European central bankers expressed concern on Friday about the success of a concerted action plan to grease the wheels of seized-up money markets, as U.S. banking giant Citigroup faced fresh strife.
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The S.E.C. is examining whether corporations alter projections for health care costs, pension plan returns and other factors as a way of manipulating earnings.
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WASHINGTON (Dow Jones/AP) - Financial services giant Citigroup says the Securities and Exchange Commission is considering recommending charges against two of its former employees and a current worker.
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The U.S. Securities and Exchange  Commission said on Tuesday it brought civil fraud and insider  trading charges against former top executives of bankrupt  credit card issuer NextCard Inc. NXCD.OB
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GEORGETOWN, Del., Nov. 17 -- Lawyers for plaintiffs in a shareholder suit over Michael S. Ovitz's $140 million severance package from the Walt Disney Co. suggested on Wednesday that Disney chief executive Michael D. Eisner may have viewed his former protege as threatening.
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Citigroup said that federal regulators had warned the bank that an investigation of its asset management unit could result in an enforcement action.
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Mortgage finance company Freddie  Mac FRE.N on Wednesday said it may face civil action from the  U.S. Securities and Exchange Commission for possible violations  of securities laws.
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Freddie Mac FRE.N, the No. 2 U.S.  mortgage finance company, on Wednesday said it may face civil  action from the U.S. Securities and Exchange Commission for  possible violations of securities laws.
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It is too early to judge whether a  concerted action plan to grease the wheels of seized-up money  markets will work, a top European central banker said on  Friday, as U.S. banking giant Citigroup faced fresh strife.
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Citigroup's Chief Executive Officer Chuck Prince outlined a five-point plan emphasizing staff training and independent controls as the firm looks to respond to recent scandals, according to an internal memo.