FSA fines 'high pressure' broker
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A firm that used "high pressure sales tactics" to sell shares is fined Â£250,000 by the City watchdog.
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The brokerage you're using may not best serve your needs.
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The US Securities and Exchange Commission said it was seeking an undisclosed amount of fines from the former owner of the Daily Telegraph.
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Credit Suisse suspended a number of traders in connection with a $2.85 billion overvaluation of assets.
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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.
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A San Francisco investment adviser for mutual funds will pay $30 million to settle charges that it secretly allowed favored clients to conduct frequent short-term trading, in violation of the funds&#39; rules and in exchange for extra fees, regulators said
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Regulators Monday fined a unit of Citigroup Inc., the nation&#39;s largest financial institution, $250,000 for using what they said was &quot;inappropriate&quot; sales material for hedge funds.
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WASHINGTON, Dec. 12 (Dow Jones/AP) â Federal regulators sued a hedge fund manager in Dallas on Tuesday, accusing him of making more than $6.5 million through illegal trading involving ânakedâ short sales of dozens of companies.
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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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Securities regulators have ordered a division of Citigroup Inc. to pay a $275,000 fine plus restitution for allegedly recommending high-risk commodity futures funds to people who shouldn&#39;t have invested in them and failing to fully disclose the risks.
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PARIS, Jan. 24 -- A "30-something" futures trader who worked on his bank's security systems and then allegedly used his skills to bypass those safeguards was accused Thursday of perpetrating one of the largest banking frauds in history.
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The Securities and Exchange Commission announced a &#36;140 million settlement Wednesday with a mutual fund adviser to the former FleetBoston Financial Corp. for improper trading, the same day the agency filed civil fraud charges against two former employees of the adviser.
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Placement fees charged by broker Marsh &amp; McLennan Cos. (MMC.N: Quote, Profile, Research) may be unethical and under intense scrutiny by regulators, but that
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A Massachusetts securities regulator Monday said he fined two entities of Franklin Templeton $5 million for allowing an investor to conduct improper mutual fund trades.
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Four Fidelity Investments brokerage units were fined a total of $3.75 million, regulator NASD said yesterday, citing broad record-keeping lapses it said it uncovered while probing the lavish gifts some company traders accepted from outside brokerages.
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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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Brokerage Charles Schwab &amp; Co. has agreed to pay a &#36;350,000 civil fine to settle federal regulators' allegations that it illegally allowed certain customers to change mutual fund trade orders after the market's close.