Fremont settles with Spitzer, SEC
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Fremont Investment Advisors has agreed to pay $2.1 million in restitution and $2 million in civil penalties to end federal and state mutual fund timing cases, New York Attorney General Eliot Spitzer said yesterday.
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Janus Capital Group Inc. said Wednesday it has finalized a $226.2 million settlement with state and federal regulators over improper trading allegations, part of a scandal sweeping the $7 million mutual funds industry.
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The new boss of US insurance broker Marsh &amp; McLennan said he is confident of settling the charges brought by New York Attorney-General Eliot Spitzer.
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The PIMCO mutual fund group&#39;s adviser and two affiliates will pay $11.6 million to settle US Securities and Exchange Commission charges involving improper &quot;revenue-sharing&quot; payments to brokers, said a source familiar with the case
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By Therese Poletti, San Jose Mercury News, Calif.  SJ-0523-Hewlett-Packard-settles-with-SEC   Hewlett-Packard settles with SEC   Therese Poletti  San Jose  Mercury News, Calif.
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Marsh &amp; McLennan Companies Inc. is moving to collect about $230 million in controversial contingent commissions owed by insurers and will put the money toward a settlement with the New York Attorney General Eliot Spitzer.
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Blog: IBM and SEC reach settlement in stock options expensing disclosure case. No fines or monetary penalties for company.
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Fremont General Corp , which  quit subprime mortgage lending this year, said on Wednesday a  group that had agreed in May to invest $80 million for a  minority stake may back out.
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The Pimco mutual fund group, which on Monday settled federal charges of allowing rapid trading in stock funds, on Wednesday is expected to pay at least $15 million to settle a joint federal and state probe into revenue
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PEA Capital, which manages seven Pimco funds, and two affiliates agreed yesterday to pay $50 million to settle Securities and Exchange Commission accusations that they allowed a hedge fund to make frequent trades at the expense of other investors.
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CHICAGO _ Discount brokerage Charles Schwab Corp. on Tuesday settled regulators&#39; allegations that it allowed scores of improper mutual fund trades, agreeing to pay a $350,000 fine.
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Edward Jones &amp; Co., a brokerage firm that caters to individual investors, agreed to pay $75 million to settle regulators&#39; allegations that it didn&#39;t disclose hidden marketing deals with mutual funds.
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Wall Street banks Goldman Sachs and Morgan Stanley have agreed to pay $40 million each to settle charges that they tried to manipulate the prices of hot IPO stocks, US regulators said yesterday.
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Company says its chief executive reached a settlement with the SEC over allegations of securities violations in the trading of SINA stock.
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Investment banks Goldman Sachs Group  Inc. GS.N and Morgan Stanley MWD.N have agreed to pay about  $40 million each to settle U.S. Securities and Exchange  Commission allegations of misconduct in their handling of  initial public stock offerings, sources familiar with the  matter said on Tuesday.
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Dow Jones & Co Inc  has agreed to settle an investor lawsuit that accused the company's directors of failing to properly evaluate News Corp's  takeover bid, it said in a U.S. regulatory filing this week.
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In NEW YORK item, please read headline as UPDATE 1-Franklin Resources in $20 million SEC settlement, not $21 million. A corrected version follows.