Brokers&#39; Gifts Investigated
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Securities regulators are opening up yet another front in their long-running investigation of the mutual fund industry, examining brokerage firms that allegedly gave mutual fund employees
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By Liz Kowalczyk and Andrew Caffrey, Globe Staff | November 14, 2004. The Massachusetts attorney general&#39;s office is investigating the state&#39;s health insurance industry over lucrative commissions offered brokers
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US market regulators are looking into whether a Jefferies Group Inc. (JEF.N: Quote, Profile, Research) trader violated rules that prohibit expensive gift-giving in a bid to curry
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The Securities and Exchange Commission is examining the near-collapse of two Bear Stearns hedge funds that made bad bets on the mortgage market.
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Bear Stearns Cos. , the sixth-largest US securities firm, is examining whether executives in its brokerage unit approved improper mutual fund trades, company records show.
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Securities regulators are reviewing  whether investment banks' trades in shares of companies linked  to M&A deals they were advising were based on coincidence or  inside information, according to The Wall Street Journal on  Monday.
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The Securities and Exchange Commission is investigating matters related to Merrill Lynch & Co Inc's  subprime mortgage portfolio, the company said on Wednesday.
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BaFin, the chief financial watchdog, said yesterday that it had begun an investigation into whether investors who had put money into property funds at the centre of the scandal had been disadvantaged.
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The US stock market watchdog is examining transactions at the world's biggest insurance broker, scandal-hit Marsh & McLennan.
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Secretary of State William F. Galvin said yesterday his office has subpoenaed Morgan Stanley in an investigation into whether brokerages failed to disclose payments received from insurers to sell variable annuities.
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Private investment bank Lazard said in a regulatory filing on Friday that the NASD and SEC are investigating the company over gifts and gratuities.
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With holiday shopping in full swing, U.S. banking regulators on Tuesday urged consumers to carefully check the terms and conditions when buying gift cards, including fees and expiration dates.
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America Online&#39;s accounting practices are under investigation by the Securities and Exchange Commission and the Justice Department.
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The Securities and Exchange Commission is increasing its scrutiny of the potential for insider trading at hedge funds.
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Morningstar, the research firm that tracks more than 16,000 mutual funds, is under investigation by the Securities and Exchange Commission.
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BOSTON -- Fidelity Investments and several brokerages that handle the mutual fund giant&#39;s trading have received subpoenas from regulators seeking information about gift-giving practices in the mutual fund industry, according to a published report Tuesday.
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Fidelity Investments and several brokerages that handle the mutual fund giant's trading have received subpoenas from regulators seeking information about gift-giving practices in the mutual fund industry, according to a published report Tuesday.