S.E.C. Is Investigating Morningstar Over Data
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Morningstar is under investigation from the Securities and Exchange Commission for taking too long to correct inaccurate data it published regarding a single mutual fund.
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U.S. securities regulators may file  suit against Morningstar Inc., a provider of mutual fund and  stock research, over incorrect data it published about a mutual  fund, the company said on Friday.
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New Century Financial Corp.  on Tuesday said the U.S. Securities and Exchange Commission is investigating the subprime mortgage lender, after the agency recently asked to meet with management to discuss its accounting.
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Bear Stearns Cos. , the sixth-largest US securities firm, is examining whether executives in its brokerage unit approved improper mutual fund trades, company records show.
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The S.E.C. mishandled its inquiry into suspect trades by Pequot Capital Management, then may have tried to cover up its mistakes, a Senate report said.
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NASD, which is the regulatory arm of the Nasdaq stock market, and the Securities and Exchange Commission are investigating about two dozen firms, including brokerage firms and mutual fund companies, to determine whether brokers handed out expensive gifts
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An investigation has begun into whether Wall Street bank employees are leaking information about big trades to favored clients.
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The US stock market regulator is investigating troubled insurance broker Marsh &amp; McLennan&#39;s shareholder transactions, the firm has said.
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The SEC is looking into whether the financial-information provider failed to correct inaccurate data it published regarding a single mutual fund in a timely manner.
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The mortgage company is the target of a formal inquiry by the S.E.C. over its accounting practices, the company said in a regulatory filing on Tuesday.
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The law firm of Milberg Weiss announced today that it is investigating possible illegal conduct relating to 401(k) retirement plans at computer maker Dell Inc. Specifically, Milberg Weiss is investigating whether fiduciaries of the Dell Inc.
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he British arm of the accounting firm Ernst &amp; Young faces an investigation into its auditing of Equitable Life Assurance Society, an insurer that almost collapsed, a spokesman for the firm said over the weekend.
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Morningstar Inc., the firm that millions of investors rely on to rate the performance of mutual funds, is under investigation by the Securities and Exchange Commission for failing to properly correct inaccurate data it published about a mutual fund.
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US authorities are probing Societe Generale and events linked to the trading problems that cost the bank $7.19bn.
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SACRAMENTO, Calif. -- Personal information about hundreds of thousands of retirees' may have been compromised after two security breaches involving pension funds in California and New York.
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The S.E.C. is looking into whether credit ratings agencies improperly inflated their ratings of mortgage-backed securities.
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Jefferies Group Inc. , a New York-based brokerage, is under investigation by the US Securities and Exchange Commission as part of a probe into whether brokers doled out gifts to mutual fund executives to win trading business, people familiar with the matter said.