Morgan Stanley says SEC seeks Mack testimony
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The U.S. Securities and Exchange  Commission has asked Morgan Stanley  Chief Executive John  Mack to testify regarding what role he may have played in an  insider trading case involving hedge fund Pequot Capital,  Morgan Stanley said on Friday.
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The Securities and Exchange Commission is investigating Bear Stearns Cos&#39; (BSC.N: Quote, Profile, Research) municipal bond offering practices, according to a filing from the US investment bank.
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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 US Securities and Exchange Commission has asked Marsh &amp; McLennan Cos. Inc. (MMC.N: Quote, Profile, Research) for information about partnerships that individuals affiliated with the
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Standard Chartered Plc has asked lawyers acting for China Aviation Oil (Singapore) Ltd. to keep it informed of applications related to the oil-trading company&#39;s $550 million derivatives loss, court documents show.
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Secretary of State William F. Galvin said yesterday his office has subpoenaed Morgan Stanley in an investigation into whether brokerages failed to disclose payments received from insurers to sell variable annuities.
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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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U.S. investment bank Morgan Stanley   denied a newspaper report on Saturday which said it was  putting its Indian business process outsourcing (BPO)  operation, Morgan Stanley Advantage Services Pvt Ltd (MSAS), up  for sale.
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The U.S. Securities and Exchange  Commission is investigating about a dozen brokerage firms that  may have failed to obtain the best price for stocks traded for  customers, a source familiar with the matter said on Monday.
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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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Four big banks face a U.S. Securities  and Exchange Commission probe of their auction-rate bond  operations, a securities filing shows.
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Four big banks face a U.S. Securities and Exchange Commission probe of their auction-rate bond operations, a securities filing shows.
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NASD on Monday said it fined Morgan Stanley (MWD.N: Quote, Profile, Research) $100,000 for failing to tell municipal bond investors that their bond holdings could be called before the maturity date, which could result in
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Securities regulators are probing several brokerage firms dealing with collateralized mortgage obligations, the Wall Street Journal reported on Friday.
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US financial regulators have requested information from Warren Buffett&#39;s Berkshire Hathaway group as part of a probe into certain insurance products.
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The U.S. Securities and Exchange Commission is investigating about a dozen brokerage firms that may have failed to obtain the best price for stocks traded for customers, a source familiar with the matter said on Monday.
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John Mack may have handed Wall Street the turnaround he pledged after becoming CEO of Morgan Stanley in 2005.   The nation's No.