Morningstar Faces Possible SEC Civil Suit
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Morningstar Inc., the mutual fund and  stock research provider, on Friday said it may face U.S.  Securities and Exchange Commission civil charges over incorrect  data it published about a mutual fund.
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Dell, the world's largest personal-computer maker, is being sued by investors who claim the company misstated financial results and concealed an investigation by the U.S. Securities and Exchange Commission.
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Dell Inc.  is facing an  investor lawsuit alleging that it improperly accounted for  hundreds of millions of dollars in payments from its long-time  partner Intel Corp. , the Wall Street Journal reported  on its Web site on Friday.
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The Securities and Exchange Commission reportedly plans to file civil charges against a Dow Jones &amp; Co. board member, David Li, over an insider trading probe linked to News Corp.'s bid for the media company.
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The U.S. Securities and Exchange  Commission is looking into possible accounting abuses involving  companies' assumptions about employee pension funds, the SEC's  top enforcement official said on Thursday.
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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  investigation linked to News Corp.&#39;s $5 billion bid for the  media company, the Wall Street Journal reported.
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Citigroup Inc. (C.N) faces a lawsuit from angry investors who allege they were defrauded in a "massive scheme of deception" when they bought securities tied to the credit-worthiness of Enron Corp. (ENRNQ.PK).
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After last week&#39;s settlement with San Francisco investment adviser Garrett Van Wagoner, you have to wonder how serious the Securities and Exchange Commission is about protecting mutual fund shareholders.
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Federal regulators are expected to bring charges this week against two former employees of the mutual fund unit of the old FleetBoston Financial Corp. -- and settle with three others -- in connection with a long-running investigation of improper market-timing trading at the former bank's Columbia funds unit, according to attorneys and officials involved in the case.
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he Van Eck Associates Corporation, a manager of the Van Eck mutual funds, has said the Securities and Exchange Commission may seek civil penalties against it and two executives in connection with improper trading.
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American International Group Inc. (AIG.N: Quote, Profile, Research) , the world&#39;s largest insurer by market value, on Monday said the US Securities and Exchange Commission may take civil
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American International Group Inc.  AIG.N, which faces a possible lawsuit by U.S. securities  regulators over helping a major banking client hide bad loans,  said on Monday regulators may also sue it for what they called  "false and misleading" statements made to investors.
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The staff of the U.S. Securities and  Exchange Commission is considering recommending a civil  injunction and/or administrative proceedings against Citigroup  Asset Management, Citicorp Trust Bank, former asset management  unit Chief Executive Thomas Jones and three other people,  Citigroup C.N said on Friday.
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The US Securities and Exchange Commission is considering taking legal action against UBS AG for possible violations of securities laws relating to work performed for HealthSouth Corp.
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Dow Jones & Co. Inc.  board member David Li, a prominent Hong Kong banker, may face civil charges in a U.S. Securities and Exchange Commission insider trading investigation linked to News Corp.'s  $5 billion bid for the U.S. media company.
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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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Morningstar Inc., a US research firm used by 3 million investors to decide what mutual funds to buy, said the Securities and Exchange Commission is investigating the company for publishing incorrect performance data for a fund.