Ex-Dow Jones director settles SEC trading case
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Former Dow Jones board member David  Li has agreed to pay a $8.1 million civil penalty to settle  charges of insider trading ahead of news of an unsolicited  buyout offer from News Corp that sent Dow Jones shares soaring,  the Securities and Exchange Commission said on Tuesday.
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RS Investments, a $6.7 billion money manager based in San Francisco, said Wednesday it had settled US and state allegations of improper trading by agreeing to pay $30 million in fines and reduced management fees.
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Industrial giant General Electric settled with the U.S. Securities and Exchange Commission on Thursday over its failure to disclose former CEO Jack Welch's lavish retirement package.
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Two former directors at Putnam Investments have agreed to pay $400,000 each to settle charges that they had engaged in improper trading.
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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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LOS ANGELES -- The Walt Disney Co. settled a case Monday in which securities regulators alleged the firm failed to disclose that it employed relatives of board members and failed to disclose certain perks to a director.
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NEW YORK - Dow Jones &amp; Co. has reached a tentative deal on a contract with the reporters union at The Wall Street Journal, ending several months of sometimes contentious talks.
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Rupert Murdoch's News Corp. has reached a tentative deal to buy Dow Jones & Co. Inc. for $5 billion, though its controlling Bancroft family remained divided on the deal, the Wall Street Journal reported.
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Brokerage giant Charles Schwab Corp. agreed yesterday to pay $350,000 to end a Securities and Exchange Commission investigation into allegations that its brokers improperly allowed some customers to change hundreds of mutual fund orders after the New York stock markets closed.
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David M. Willey, the former finance chief at the Capital One Financial Corporation, will pay $1.8 million, including an $801,000 fine, to settle insider-trading accusations, the Securities and Exchange Commission said yesterday.
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The Securities and Exchange Commission has reached a settlement with two former employees of SpeechWorks International Inc. over claims they used faulty accounting practices to mislead investors. But a third former SpeechWorks employee plans to fight the charges in court.
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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 probe linked to News Corp.'s  bid for the media company, the Wall Street Journal reported on Wednesday.
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General Electric Co. on Thursday entered into a settlement with the Securities and Exchange Commission to resolve allegations the company failed to disclose to investors the scope of the retirement package of former President and CEO Jack Welch.
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Former Enron executive Raymond Bowen  agreed to pay $500,000 to settle charges of earnings  manipulation, the U.S. Securities and Exchange Commission said  on Monday.
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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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David Li, a former Dow Jones board member, has agreed to pay an $8.1 million civil penalty to settle charges of insider trading related to News Corp.âs  buyout offer, the S.E.C. said.
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The U.S. Securities and Exchange Commission said on Tuesday it charged the former chief financial officer and former controller of Engineered Support Systems Inc. with stock options backdating fraud.