Stock market regulator fines CSFB $1.35 million over off-market ...
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TORONTO (CP) - Credit Suisse First Boston Canada Inc. has been fined $1.35 million for failing to provide timely reporting of off-market trading of more than nine million shares of BCE Inc.
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A Massachusetts securities regulator Monday said he fined two entities of Franklin Templeton $5 million for allowing an investor to conduct improper mutual fund trades.
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Charles Schwab Corp. SCH.N 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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Investment bank Morgan Stanley gets a record $19m fine from the New York Stock Exchange for a number of regulatory and supervisory lapses.
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Credit Suisse suspended a number of traders in connection with a $2.85 billion overvaluation of assets.
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Water firm United Utilities is given a Â£8.5m fine from water regulator Ofwat for breaching trading rules.
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General Reinsurance, owned by billionaire Warren Buffett, is fined Â£1.2m by the FSA for writing two bogus deals.
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UBS AG  UBS Financial Services Inc has been censured and fined $370,000 in a settlement with the Financial Industry Regulatory Authority (FINRA) for making what the self-regulatory group said were hundreds of late disclosures about its brokers.
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Securities regulators have ordered a division of Citigroup Inc. to pay a $275,000 fine plus restitution for allegedly recommending high-risk commodity futures funds to people who shouldn&#39;t have invested in them and failing to fully disclose the risks.
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A fine levied against Bear Stearns for failing to detect fraud in a hedge fund customer has struck fear in the heart of Wall Street.
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BSA hands out the fines Three US financial services firms have paid large fines for using unlicensed software in their offices.â¦
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BOSTON (CBS.MW) -- Franklin Resources has agreed to pay a $5 million fine in connection with charges that it allowed market timing in a fund that prohibited the practice in its prospectus.
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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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NEW YORK: The NASD yesterday said it censured and fined 29 securities firms a total of $US9.22 ($NZ13.04) million for failing to properly disclose required information about their brokers more than 8300 times.
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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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Google's chief legal officer was fined by the SEC for overstated revenues when he was CFO at a former company.
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Charles Schwab Corp. , the largest online brokerage, on Friday said it would cut online stock-trading commissions by 35 percent for small investors, the latest volley in a price war among brokers and a move that will reduce the firm's revenue.