Regulators Probe Fund Trades at Bank of NY
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Bank of New York Co. Tuesday said regulators are looking into mutual-fund transactions that were cleared by the company's Pershing LLC unit.
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United States regulators are considering forcing investment banks to make public markets in some of the more exotic financial instruments that have plunged in value in the last six months.
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The New York Stock Exchange said on Thursday that its electronic system for handling orders on its trading floor was experiencing problems, forcing some brokers to handle trades on paper.
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Bank of New York Co. BK.N on Tuesday  said regulators are examining whether its Pershing LLC unit  cleared improper stock trades.
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Banks that produce complex and illiquid derivative products that have been at the heart of the credit squeeze may be forced to provide more information about them on public stock exchanges.
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The U.S. Securities and Exchange Commission is investigating Dow Jones & Co. Inc.  board member David Li over an insider trading case linked to News Corp.'s  bid for the Wall Street Journal publisher, Dow Jones reported on Wednesday.
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The Securities and Exchange Commission is investigating Bear Stearns Cos&#39; (BSC.N: Quote, Profile, Research) municipal bond offering practices, according to a filing from the US investment bank.
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The U.S. Securities and Exchange  Commission is investigating about a dozen brokerage firms that  may have failed to obtain the best price for stocks traded for  customers, a source familiar with the matter said on Monday.
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The German and French financial watchdogs said on Thursday they were looking into recent trading by U.S. financial services group Citigroup (C.N: Quote , Profile , Research ) in European government bond and ...
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The U.S. Securities and Exchange  Commission is examining whether J.P. Morgan Chase & Co. should  have known that the Canary Capital Partners LLC hedge fund was  making improper trades, the Wall Street Journal reported on  Thursday.
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With a major trading-fraud case finally settled yesterday, the Boston-based mutual fund operations of Bank of America are at work on a major restructuring over the coming months that will result in a smaller, more coherent lineup of funds, officials said.
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Hartford Life, a unit of the Hartford Financial Services Group Inc., said Friday it is being investigated by the Securities and Exchange Commission for its use of "directed brokerage" in connection with its mutual funds.
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France and Germany's market watchdogs say they are looking into Citigroup bond trades already under scrutiny in the UK.
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Wall Street is reportedly under investigation again for allegedly anti-competitive practices that regulators believe might put small investors at a disadvantage.
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An investigation has begun into whether Wall Street bank employees are leaking information about big trades to favored clients.
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NASD, which is the regulatory arm of the Nasdaq stock market, and the Securities and Exchange Commission are investigating about two dozen firms, including brokerage firms and mutual fund companies, to determine whether brokers handed out expensive gifts
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The SEC is looking into whether the financial-information provider failed to correct inaccurate data it published regarding a single mutual fund in a timely manner.