Allied Capital, SEC Settle on Investment Pricing
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Allied Capital failed to preserve documents to support how it valued investments between 2001 and 2003, securities regulators said as part of a settlement yesterday.
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SHANGHAI Â Morgan Stanley, the investment bank, and the Chinese government said Monday that the bank had determined the range of prices to be used when Chinaâs international investment fund converts $5 billion in securities into Morgan Stanley stock.
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Invesco Funds Group Inc. and two other mutual-fund units of Amvescap LLC will pay $375 million to settle Securities and Exchange Commission charges of helping favored investors engage in improper mutual-fund trading.
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Investors have spoken. Here's what they said.
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The California Public Employees' Retirement System, the largest US pension fund, agreed to disclose the fees it pays to venture capital and hedge fund managers as part of a legal settlement.
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Morgan Stanley and Goldman Sachs Group Inc. have agreed to pay $40 million each to settle federal charges that they awarded coveted initial public offering shares in a manner that may have artificially pumped up stock prices during the late 1990s.
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Wall Street banks Goldman Sachs and Morgan Stanley have agreed to pay $40 million each to settle charges that they tried to manipulate the prices of hot IPO stocks, US regulators said yesterday.
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Invesco Funds Group and affiliate AIM Advisors say they have agreed to pay $450 million (250 million pounds) to settle civil lawsuits over improper trading, the third biggest
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NEWARK, NJ -- Three companies have agreed to pay $50 million to settle charges they defrauded investors in Pimco Funds by not disclosing a market timing arrangement.
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Fremont Investment Advisors of San Francisco has agreed to pay $2.1 million in restitution and $2 million in civil penalties to end a mutual fund timing case, New York Attorney General Eliot Spitzer announced Thursday.
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Invesco Funds Group and its sister company agreed Tuesday to pay $376.5 million and surrender another $75 million in fees to settle allegations of improper trading, a deal that will send nearly all the money to investors harmed by the practice.
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SAN FRANCISCO (CBS.MW) -- Invesco Funds Group and AIM Advisors agreed Tuesday to pay $450 million in penalties and reduced fees to settle allegations that they allowed fraudulent trades in their mutual funds.
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Bee Staff Writer. In the latest crackdown on conflicts of interest on Wall Street, federal and state regulators said Thursday that they&#39;ve obtained a $100 million settlement from two investment
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SHANGHAI â Morgan Stanley, the investment bank, and the Chinese government said Monday that the bank had determined the range of prices to be used when Chinaâs international investment fund converts $5 billion in securities into Morgan Stanley stock.
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ALBANY, NY RS Investment Management agreed to pay 30 (m) million dollars to settle allegations it allowed &quot;excessive&quot; market timing in its mutual funds.
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London-based Absolute Capital Management Ltd is set to list on the London Stock Exchange's Alternative Investment Market on a date still to be determined.
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Wall Street's two main private  regulatory arms said on Tuesday they have agreed to merge in a  widely anticipated move aimed at reducing industry costs and  streamlining oversight functions.