SEC Considers Suing Ex-Lucent Officers
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Lucent Technologies, the nation&#39;s biggest telecommunications equipment maker, said yesterday that the Securities and Exchange Commission was considering suing three former executives over possible
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NEW YORK -- The Securities and Exchange Commission is considering recommending charges against a Citigroup executive whose departure was announced this week, the financial-services giant said Friday.
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Some aggrieved investors are turning  to lawyers to pursue possible legal claims stemming from losses  at two Bear Stearns Cos.  hedge funds that were  virtually wiped out from large, illiquid bets on risky  mortgages.
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US securities regulators may recommend enforcement action against the former head of Citigroup Global Investment Management for his role in activities under investigation at the company&#39;s mutual fund unit, the No.
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The Securities and Exchange Commission filed a lawsuit on Wednesday against the brokerage firm JB Oxford Holdings and its National Clearing Corporation unit, accusing them of improper mutual fund trading.
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Citigroup Inc. (CN: Quote, Profile, Research) on Friday said US securities regulators may recommend enforcement proceedings against the former head of Citigroup Global Investment Management.
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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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WASHINGTON - The Securities and Exchange Commission is considering recommending charges against two former Citigroup Inc. employees and a current employee, the financial-services giant said Friday.
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Investors in two struggling Bear  Stearns Cos.  hedge funds that made bad bets on risky  mortgages will almost surely file lawsuits in hopes of  recouping losses, but legal experts say they could have a tough  time proving their case.
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Citigroup Inc. on Friday said US securities regulators are thinking of recommending enforcement proceedings against the former head of Citigroup Global Investment Management.
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The Securities and Exchange Commission is considering a civil action against American International Group Inc. and its AIG Financial Products Corp.
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Mortgage finance company Freddie  Mac FRE.N on Wednesday said it may face civil action from the  U.S. Securities and Exchange Commission for possible violations  of securities laws.
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The S.E.C. notified the top three executives of the American Stock Exchange that they may face civil charges of failing to properly enforce the exchange's rules.
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Securities regulators are planning sanctions against a company that sold high-fee mutual funds to military officers, sources familiar with the situation said Friday. Some big fund companies said they may reconsider the "contractual plan" funds.
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HONG KONG/WASHINGTON  - The U.S. Securities and Exchange Commission plans to file civil charges against Dow Jones & Co. Inc.  board member David Li over an insider trading investigation linked to News Corp.'s  $5 billion bid for the media company, the Wall Street Journal reported.
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U.S. securities regulators may file  suit against Morningstar Inc., a provider of mutual fund and  stock research, over incorrect data it published about a mutual  fund, the company said on Friday.
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TORONTO (CP) - The Ontario Securities Commission has told four Canadian mutual fund companies they face &quot;potential enforcement proceedings&quot; for improper trading.