Van Wagoner barred from mutual fund industry roles
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The Securities and Exchange Commission said Thursday it filed settled fraud charges against San Francisco-based Van Wagoner Capital Management Inc.
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Pirate Capital, the hedge fund management company run by Thomas Hudson, has barred withdrawals from its two Jolly Roger Activist funds after the firmâs assets declined by almost 80 percent in the last year.
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CHRIS Fishwick, the former Aberdeen Asset Management director at the centre of the split capital trust scandal, has been barred from the City for seven years as part of a Â£194m settlement agreed with the regulator on Friday.
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Some exchange-traded funds aren't for anyone.
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Interim liquidators have been appointed for no-frills sharebroker Access Brokerage which was suspended from trading on Monday morning after a weekend investigation by the stock exchange.
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After last week&#39;s settlement with San Francisco investment adviser Garrett Van Wagoner, you have to wonder how serious the Securities and Exchange Commission is about protecting mutual fund shareholders.
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Two top-ranking executives of the insurance brokerage unit at Marsh &amp; McLennan Company and the company&#39;s general counsel were forced out yesterday as Marsh took another step in reorganizing
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The Securities and Exchange Commission is poised to curb fund companies from steering stock trades to brokerage firms that agree to sell their funds.
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Storage fraudster must face the music A federal judge has denied a bid by Greg Reyes, the former CEO of storage switch maker Brocade, to launch an appeal against his conviction for stock options fiddling.â¦
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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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The Securities and Exchange Commission settled fraud charges Thursday against Van Wagoner Capital Management Inc., whose high-profile executives allegedly lied about the values of their mutual funds and broke laws meant to protect investors.
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WASHINGTON - Peter Bacanovic, Martha Stewart&#39;s convicted co-defendant and former Merrill Lynch stock broker, has agreed to being barred from association with any broker, dealer or investment adviser, the US Securities and Exchange Commission said Monday
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The Securities and Exchange Commission announced Thursday that a top staffer overseeing the &#36;7.6 trillion mutual-fund industry will step down for a private-sector position.
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The state yesterday rehired the poster child for the mutual fund scandal and fired the industry&#39;s current golden child. The Massachusetts state pension fund
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he Van Eck Associates Corporation, a manager of the Van Eck mutual funds, has said the Securities and Exchange Commission may seek civil penalties against it and two executives in connection with improper trading.
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Under the agreement, the troubled bond insurance firm,  ACA, will be restricted in issuing dividends to its parent company.
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ING Groep NV has disclosed new details of trading improprieties in its mutual funds and variable-insurance products, but research firm Morningstar Inc.