Two Investment Banks Settle with SEC
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Deutsche Bank Securities Inc.  and Thomas Weisel Partners agreed to pay a combined &#36;100 million to settle charges involving conflicts of interest between research and investment banking, U.S. regulators said on Thursday.
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Deutsche Bank Securities Inc.  and  Thomas Weisel Partners agreed to pay a combined $100 million to  settle charges involving conflicts of interest between research  and investment banking, U.S. regulators said on Thursday.
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WASHINGTON The two founders of the Pennsylvania-based Pilgrim-Baxter mutual fund family have agreed settle regulators&#39; charges of improper trading.
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Disney settles with the SEC for failing to inform investors of some familiar ties.
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Deutsche Bank Securities has agreed to pay $87.5 million to settle allegations that it issued stock research that was biased by its investment-banking business, regulators announced Thursday, as part of a crackdown on conflicts of interest on Wall Street.
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Two companies that manage and market Franklin Templeton mutual funds have agreed to pay a total of $20 million to settle federal regulators' charges that they failed to disclose their use of fund assets to pay brokerages for steering customers to the funds.
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Deutsche Bank Securities Inc. and Thomas Weisel Partners agreed to pay a combined $100 million to settle charges involving conflicts of interest between research and
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Gamco Investors Inc. said it had offered to settle a S.E.C. investigation into mutual fund share trading.
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The Securities and Exchange Commission and Time Warner Inc. are nearing agreement on a deal in which the media giant would pay about $750 million to settle wide-ranging allegations
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Janus Capital Group Inc. said Wednesday it has finalized a &#36;226.2 million settlement with state and federal regulators over improper trading allegations, part of a scandal sweeping the &#36;7 trillion mutual funds industry.
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Barclays Bank  has agreed to  pay about $10.9 million to settle charges of illegal insider  trading in bond securities, the U.S. Securities and Exchange  Commission said on Wednesday.
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Federal securities regulators will throw their weight behind investors in a big-money dispute that could resolve whether shareholders can sue bankers who enabled their corporate clients to engage in fraud, two people familiar with the decision said yesterday.
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The U.S. Securities and Exchange  Commission said on Friday that financial services firm Edward  Jones has agreed to pay $75 million to settle charges related  to its 529 college savings plans and preferred mutual fund  family program.
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The Securities and Exchange Commission announced today the settlement of charges against American International Group revolving around the marketing of transactions that would remove possible volatile assets from the balance sheets of companies.
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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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NEWARK, NJ -- Three companies have agreed to pay $50 million to settle charges they defrauded investors in Pimco Funds by not disclosing a market timing arrangement.
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Enron Corp  said on Friday it reached agreement with FleetBoston Financial Corp. and Fleet National Bank  to settle litigation linked to the former energy trader's dramatic collapse five years ago.