The butler did it, SEC says in insider trading case
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After sifting through clues involving Elvis Presley, entertainment insiders, and poolside faxes of secret business deals, U.S. securities regulators decided the butler did it.
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SEC may take civil action against the bank&#39;s brokerage unit on improper mutual fund trading charges. NEW YORK  - Wachovia Corp.
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Citigroup  was cleared of insider  trading charges on Thursday by an Australian court, which ruled  the U.S. bank&#39;s &quot;Chinese Walls&quot; were not breached when it  traded shares in a company it knew was a takeover target.
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HARTFORD, Connecticut  - Former executives at a reinsurance unit of billionaire Warren Buffett's Berkshire Hathaway Inc concocted a fraud that misled investors in American International Group Inc , a U.S. prosecutor told jurors on Monday.
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The Securities and Exchange Commission has sued JB Oxford Holdings Inc., a small brokerage and clearing company, and three of its executives for allegedly helping customers from as far away as Switzerland improperly trade fund shares.
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Two big US brokers have agreed to pay fines of USD100m to the market&#39;s watchdog for hyping stock. They have agreed the fines with the Securities and Exchange Commission (SEC) for &quot;inappropriate analysis of stocks&quot;.
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The activist fund manager Yoshiaki Murakami, who shook up corporate Japan with demands for greater shareholder returns, was sentenced to two years in jail for insider trading during a controversial takeover battle. The conviction was for trading in shares during a bid for a television broadcaster made by the scandal-ridden Internet company Livedoor. Regulators have been cracking down on corporate wrongdoing after an accounting fraud at Livedoor that led to a sell-off on the Tokyo Stock Exchange. Mr. Murakami was also fined 1.2 billion yen ($10 million). He quickly appealed the ruling, and Japanese news media said he had been released on bail.
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The Securities and Exchange Commission is preparing enforcement actions against three US stock exchanges -- and possibly the head of one of them -- over charges that in-house regulators failed to adequately enforce their own rules
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The SEC's new tool helps investors get the skinny on compensation.
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By Bloomberg News. A judge dismissed a lawsuit against Lawrence J. Ellison, chief executive of the Oracle Corporation, and Jeffrey O. Henley, its chairman, that accused them of insider trading
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A former junior-level investment  banker at Merrill Lynch &amp; Co.  pleaded guilty on Friday  to insider trading after providing tips about upcoming mergers  as part of a scheme that generated millions of dollars of  profit.
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The largest insurance brokerage company in the U.S. was accused of taking payoffs from insurance companies to send them clients.
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Regulators are investigating whether several current and former employees at Merrill Lynch & Co Inc  improperly placed trades for the brokerage house's own account ahead of client orders, The Wall Street Journal reported on Monday.
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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.&#39;s  bid for the Wall Street Journal publisher, Dow Jones reported  on Wednesday.
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Sharemarket watchdog the Securities Commission has filed unprecedented insider trading action against high-profile former owners and executives of Tranz Rail.
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As federal regulators have pursued insider trading cases this year, one of the oddities they have spotted is an increase in cases involving husbands and wives.
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THREE senior officials running one of Americaâs junior stockmarkets could face civil charges relating to its options market, following a probe by US watchdog the Securities and Exchange Commission.