Prudential ordered to pay 600 mln dlr fine to settle trading probe
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US life insurer Prudential Financial has been ordered to pay a 600 million dollar fine by the government after some of its brokers engaged in fraudulent trading of mutual fund shares, prosecutors said.
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Former Dow Jones board member David  Li has agreed to pay a $8.1 million civil penalty to settle  charges of insider trading ahead of news of an unsolicited  buyout offer from News Corp that sent Dow Jones shares soaring,  the Securities and Exchange Commission said on Tuesday.
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Charles Schwab Corp. (SCH.N: Quote, Profile, Research) 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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A US judge approved a 600 million dollar settlement with Credit Lyonnais and the French government over the disputed 1991 purchase of failed insurer Executive Life, an official announced.
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Invesco Funds Group (IFG) and affiliate AIM are to pay a total of $450m (Â£254m) to settle an improper trading probe. The UK&#39;s Amvescap, which owns both firms, said the two would pay $140m in civil penalties
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Blog: IBM and SEC reach settlement in stock options expensing disclosure case. No fines or monetary penalties for company.
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Lehman Brothers has agreed to pay $222.5 million to settle a class-action lawsuit contending that it and other brokerage firms and banks helped Enron mislead investors.
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Qwest Communications International Inc. agreed to pay $250 million in two installments to settle a two-and-a-half-year investigation by the US Securities and Exchange Commission.
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A federal judge in New York has approved a $2.6 billion settlement of a class-action lawsuit on behalf of more than 170,000 WorldCom investors who claimed they were defrauded by Citigroup.
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RS Investments, a $6.7 billion money manager based in San Francisco, said Wednesday it had settled US and state allegations of improper trading by agreeing to pay $30 million in fines and reduced management fees.
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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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The commercial insurer reached an agreement with several states to pay $6 million to resolve an investigation into fees it paid to brokers.
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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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Time Warner is to announce today that it will pay between $500 and $600 million to settle federal investigations into irregularities at America Online, according to reports in the American press.
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Qwest Communications has agreed to pay $250 million to settle a wide-ranging fraud investigation by the Securities and Exchange Commission, The Associated Press has learned.
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The world's largest DRAM maker agrees to pay multimillion dollar fine in a DRAM price-fixing suit.
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Payout strengthens anti-stalker law A bank which purchased the names and addresses of more than 650,000 people in the US has been ordered to pay a $50m fine. The case was brought by a Florida resident against Fidelity Bank and also included the Electronic Privacy Information Centre.â¦