3 Former Invesco Fund Executives Settle US Case
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Three former executives of the Invesco Funds Group were barred from the mutual fund industry and agreed to pay a combined $340,000 in fines to resolve accusations that they helped favored clients make about $58 billion in improper trades, regulators said
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The Securities and Exchange Commission has reached a settlement with two former employees of SpeechWorks International Inc. over claims they used faulty accounting practices to mislead investors. But a third former SpeechWorks employee plans to fight the charges in court.
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Two former directors at Putnam Investments have agreed to pay $400,000 each to settle charges that they had engaged in improper trading.
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Hewlett-Packard settled cases with The New York Times Company and three BusinessWeek journalists after being caught spying on reporters in 2006.
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NEW YORK, Nov. 17 -- Gary L. Pilgrim and Harold J. Baxter, founders of a tech-based mutual fund that blazed and then fizzled in the 1990s, agreed yesterday to pay $160 million to settle charges that Pilgrim took advantage of trading opportunities and Baxter shared inside information at the expense of investors.
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The California Public Employees' Retirement System, the largest US pension fund, agreed to disclose the fees it pays to venture capital and hedge fund managers as part of a legal settlement.
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A former Dow Jones & Company director and three associates will pay more than $24 million to settle charges that they traded illegally on inside knowledge of the News Corporationâs takeover of Dow Jones.
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Hewlett-Packard settled cases with The New York Times Company and three BusinessWeek journalists Wednesday after being caught spying on reporters in 2006.
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Ten former Enron directors have agreed to pay $13 million out of their own pockets as part of a settlement with onetime shareholders.
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Investment banks Goldman Sachs Group  Inc. GS.N and Morgan Stanley MWD.N have agreed to pay about  $40 million each to settle U.S. Securities and Exchange  Commission allegations of misconduct in their handling of  initial public stock offerings, sources familiar with the  matter said on Tuesday.
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The two founders of the Pilgrim-Baxter mutual fund family have agreed to pay &#36;80 million each to settle regulators' charges of improper trading of their funds to benefit themselves and friends at the expense of longer-term shareholders, the authorities announced Wednesday.
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WASHINGTON -- The two founders of the Pilgrim-Baxter mutual fund family have agreed to pay $80 million each to settle regulators&#39; charges of improper trading of their funds to benefit themselves and friends at the expense of longer-term shareholders, the
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A former Dow Jones board member will pay $8.1m to settle insider trading charges related the firm's takeover.
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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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Three former employees at fund manager Amvescap yesterday agreed to pay penalties totalling $3.34m (Â£1.9m) to settle charges relating to the US mutual funds scandal.
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Janus Capital Management agreed Wednesday to pay $100 million to settle allegations by the US Securities and Exchange Commission that the mutual fund company permitted &quot;market timing,&quot; a trading practice at the heart of the mutual fund scandal.
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Invesco Funds Group Inc. and affiliate  AIM Advisors Inc. agreed to a $450 million settlement with  state and federal regulators to resolve probes of improper  trading, officials and the parent company said on Tuesday.