Asset-manager Gabelli subpoenaed by SEC
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NEW YORK -- Gabelli Asset Management Inc., run by star money manager Mario Gabelli, received a subpoena from the Securities and Exchange Commission related to its investigation of improper fund-share trading, the firm said in a regulatory filing.
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Apple CEO Steve Jobs has been subpoenaed by the Securities and Exchange Commission to testify in a options case against his former general counsel Nancy Heinen, sources say.
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UBS Securities, the investment-banking division of the Swiss-based UBS, was accused by Massachusetts regulators of dishonest and unethical practices in dealings with hedge-fund advisers. The subsidiary, based in Stamford, Conn., gave hedge-fund managers below-market rent, low-interest personal loans and other benefits to retain and increase business, according to a complaint from the office of William Galvin, the secretary of the commonwealth and its top securities regulator. The complaint also accuses UBS of failing to supervise gifts and gratuities. The action, filed with the stateâs Securities Division, seeks a cease-and-desist order, a censure and an undisclosed administrative fine, the statement said. Doug Morris, a UBS spokesman in New York, declined to comment.
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The subpoenas seek information on nontraditional insurance and transactions that some companies have used to improve the appearance of their financial statements.
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Morningstar, the research firm that tracks more than 16,000 mutual funds, is under investigation by the Securities and Exchange Commission.
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TALLAHASSEE, Florida  - Florida has subpoenaed Countrywide Financial Corp  as part of a widening investigation into subprime lending practices, the state's attorney general said on Thursday.
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Top U.S. life insurer MetLife Inc.  MET.N said on Friday it had received several subpoenas from  New York Attorney General Eliot Spitzer, in a sign that a probe  into alleged rigging of bids in exchange for fat fees in the  insurance industry is widening.
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Aon Corp.  and Willis Group Holdings  have received several subpoenas from regulators related to a sweeping investigation of bid-rigging, the insurance brokers said on Tuesday.
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The Securities and Exchange Commission inquiry into accounting practices at Fannie Mae has escalated into a formal investigation, after commissioners voted to give the agency staff the power to subpoena documents and testimony from witnesses, according to sources briefed on the case.
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The insurance brokerage reports good earnings, but a subpoena sinks its stock.
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Apple Inc. CEO Steve Jobs has been subpoenaed by the U.S. Securities and Exchange Commission to give a deposition in a stock-options backdating case against Apple's former general counsel, a person familiar with the case told The Associated Press Thursday.
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Florida has subpoenaed  Countrywide Financial Corp  as part of a widening  investigation into subprime lending practices, the state's  attorney general said on Thursday.
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The U.S. Department of Justice (DOJ) has subpoenaed Advanced Micro DevicesÂ as part of an antitrust investigation into the market for graphics processors and graphics cards, AMD said Thursday.
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Thomson Financial, a unit of financial information provider Thomson Corp., said it received a subpoena from the US Securities and Exchange Commission for documents related to its capital markets intelligence business.
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The Securities and Exchange Commission is investigating how banks, credit rating firms and lenders valued and disclosed complex mortgage-backed securities that ultimately led to the subprime crisis, a top agency enforcer said on Saturday.
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BearingPoint Inc., a management-consulting firm, has received a subpoena from a grand jury in California regarding federal contracts going back to 1998, according to a regulatory filing Thursday.
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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.